DFX Intelligence
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Registered advisor
M•••••• F•••••• C••••••
Feed of 09/14/2026
Also filed as M•••••• F•••••• C••••••••• F• C••••••
At current firm
9 y
since Jul 7, 2017
In the industry
28 y
since Jul 3, 1998 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- E••••• J•••• national BD currentsince Jul 7, 2017 · Lake Oswego, Or
- A••••••••• L••• otherJun 16, 2004 to May 4, 2007 · New York, Ny
- A••••••• S•••••• A••••••• S•••••••• I••• unclassifiedFeb 26, 2003 to Mar 24, 2004 · Shelton, Ct
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• L••• to E••••• J••••left May 4, 2007, registered Jul 7, 2017 (3717 days) · Other
- A••••••• S•••••• A••••••• S•••••••• I••• to A••••••••• L•••left Mar 24, 2004, registered Jun 16, 2004 (84 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
- National broker-dealer RIAderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address