DFX Intelligence
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Registered advisor
C••• M••••• O•••••••••
Feed of 09/15/2026
Also filed as C••• M••••• O••••••••• O••••••••• M••••• O•••••••••
At current firm
3 y
since Jan 11, 2023
In the industry
26 y
since Feb 15, 2000 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- C••••••• S••••••••• I••• BD affiliated currentsince Jan 11, 2023 · Westwood, Ma
- F••••••• P••••••• A•• W•••••••• A••••••• formerDec 16, 2020 to Sep 17, 2022 · Millburn, Nj
- U•• F•••••••• S••••••• I••• wirehouseAug 11, 2010 to Dec 9, 2020 · Weehawken, Nj
- C•••• I••••••••• S••••••• C•••• formerNov 8, 2005 to Aug 9, 2010 · Greenwich, Ct
- A••••••••• F•••••••• S•••••••• L•• national BDJul 31, 2002 to Jan 11, 2006 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to C••••••• S••••••••• I•••left Sep 17, 2022, registered Jan 11, 2023 (116 days) · Affiliated broker-dealer or bank to another · moved with a team
- U•• F•••••••• S••••••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left Dec 9, 2020, registered Dec 16, 2020 (7 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- C•••• I••••••••• S••••••• C•••• to U•• F•••••••• S••••••• I•••left Aug 9, 2010, registered Aug 11, 2010 (2 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to C•••• I••••••••• S••••••• C••••left Jan 11, 2006, registered Nov 8, 2005 (-64 days) · Other
Signals
- ••• LockedSep 17, 2022 · Advisor changed firm · fact
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address