DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
A••••• M•••• R•••••••••
Feed of 09/15/2026
Also filed as M•••• R••••••••• M•••• R••••••••• M• R•••••••••
At current firm
2 y
since Jul 15, 2024
In the industry
27 y
since May 1, 1999 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- R•• C•••••• M••••••• L•• national BD currentsince Jul 15, 2024 · Hunt Valley, Md
- M••••• S•••••• wirehouseFeb 6, 2020 to Jul 17, 2024 · Fort Myers, Fl
- U•• F•••••••• S••••••• I••• wirehouseSep 7, 2017 to Nov 21, 2019 · Fort Myers, Fl
- H•••••••• A•••••••• L•• BD affiliatedFeb 17, 2012 to Nov 21, 2017 · Sparks, Md
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 23, 2005 to Feb 21, 2012 · York, Pa
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to R•• C•••••• M••••••• L••left Jul 17, 2024, registered Jul 15, 2024 (-2 days) · Wirehouse to affiliated broker-dealer or bank
- U•• F•••••••• S••••••• I••• to M••••• S••••••left Nov 21, 2019, registered Feb 6, 2020 (77 days) · Wirehouse to wirehouse
- H•••••••• A•••••••• L•• to U•• F•••••••• S••••••• I•••left Nov 21, 2017, registered Sep 7, 2017 (-75 days) · Affiliated broker-dealer or bank to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to H•••••••• A•••••••• L••left Feb 21, 2012, registered Feb 17, 2012 (-4 days) · Other
Signals
- ••• LockedJul 17, 2024 · Advisor changed firm · fact
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