DFX Intelligence
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Registered advisor
M••• P•••• E•••••••
Feed of 09/14/2026
Also filed as M••• P• E•••••••
At current firm
7 y
since Dec 14, 2018
In the industry
28 y
since Aug 3, 1998 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, 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
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Dec 14, 2018 · Center Valley, Pa
- M••••• S•••••• wirehouseJun 11, 2010 to Dec 18, 2018 · Allentown, Pa
- S•••••• N••••••• • C••••••• I••••••••• national BDJul 10, 2007 to Jun 16, 2010 · Allentown, Pa
- R••• B••• • C•• unclassifiedMar 8, 2005 to Jul 10, 2007 · Bethlehem, Pa
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to S•••••• N••••••• • C••••••• I•••••••••left Dec 18, 2018, registered Dec 14, 2018 (-4 days) · Wirehouse to affiliated broker-dealer or bank
- S•••••• N••••••• • C••••••• I••••••••• to M••••• S••••••left Jun 16, 2010, registered Jun 11, 2010 (-5 days) · Affiliated broker-dealer or bank to wirehouse
- R••• B••• • C•• to S•••••• N••••••• • C••••••• I•••••••••left Jul 10, 2007, registered Jul 10, 2007 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
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
- 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