DFX Intelligence
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Registered advisor
D•••• M••••
Feed of 09/14/2026
Also filed as D•••• A•••••• M••••
At current firm
2 y
since Mar 26, 2024
In the industry
29 y
since Jul 11, 1997 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- J••• M••••• S••••••••• L•• wirehouse currentsince Mar 26, 2024 · White Plains, Ny
- J••• M••••• P•••••• W••••• A••••••• L•• formerOct 15, 2021 to Mar 20, 2025 · Greenwich, Ct
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 16, 2015 to Oct 19, 2021 · White Plains, Ny
- U•• F•••••••• S••••••• I••• wirehouseJun 20, 2008 to Jul 27, 2015 · Purchase, Ny
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 26, 2008 · Paramus, Nj
- M••••• S•••••• D• I••• unclassifiedSep 8, 2006 to Apr 2, 2007 · Paramus, Nj
- A••••••••• L••• otherJun 5, 2002 to Jul 7, 2003 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• P•••••• W••••• A••••••• L•• to J••• M••••• S••••••••• L••left Mar 20, 2025, registered Mar 26, 2024 (-359 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• P•••••• W••••• A••••••• L••left Oct 19, 2021, registered Oct 15, 2021 (-4 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 27, 2015, registered Jul 16, 2015 (-11 days) · Wirehouse to wirehouse
- M••••• S•••••• • C•• L•• to U•• F•••••••• S••••••• I•••left Jun 26, 2008, registered Jun 20, 2008 (-6 days) · Other
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- A••••••••• L••• to M••••• S•••••• D• I•••left Jul 7, 2003, registered Sep 8, 2006 (1159 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address