DFX Intelligence
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Registered advisor
M•••••• A•• M••••
Feed of 09/15/2026
Also filed as M•••••• A•• H•••••
At current firm
9 y
since May 8, 2017
In the industry
27 y
since Nov 21, 1998 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
4
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- R•• C•••••• M••••••• L•• national BD currentsince May 8, 2017 · Minneapolis, Mn
- A••••••••• F•••••••• S•••••••• L•• national BDMay 14, 2015 to Apr 27, 2017 · Minneapolis, Mn
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedAug 17, 2009 to May 1, 2015 · Saint Paul, Mn
- I••••• F•••••••• C••••••••• formerOct 5, 2005 to Aug 7, 2009 · Menomonie, Wi
- W•••• F•••• I••••••••• L•• unclassifiedMay 21, 2004 to Oct 3, 2005 · Minneapolis, Mn
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• F•••••••• S•••••••• L•• to R•• C•••••• M••••••• L••left Apr 27, 2017, registered May 8, 2017 (11 days) · Affiliated broker-dealer or bank to another
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to A••••••••• F•••••••• S•••••••• L••left May 1, 2015, registered May 14, 2015 (13 days) · Other
- I••••• F•••••••• C••••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Aug 7, 2009, registered Aug 17, 2009 (10 days) · Other
- W•••• F•••• I••••••••• L•• to I••••• F•••••••• C•••••••••left Oct 3, 2005, registered Oct 5, 2005 (2 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address