DFX Intelligence
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Registered advisor
M••••••• O••• B•••••
Feed of 09/14/2026
Also filed as M••••••• O••• B••••••••• M••••••• B•••••
At current firm
0 y
since Nov 5, 2025
In the industry
28 y
since Jun 26, 1998 (earliest exam, job or registration)
Prior registered firms
5
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
- L•• F•••••••• L•• BD affiliated currentsince Nov 5, 2025 · Cleveland, Ms
- O•••• W•••••• I••• BD affiliatedJun 14, 2024 to Nov 23, 2024 · Cleveland, Ms
- S••••••••• A•••••• A•••••••• I••• formerJul 17, 2020 to Jun 14, 2024 · Cleveland, Ms
- I••••••••• A••••••• S••••••• I•• formerAug 18, 2010 to Jul 17, 2020 · Cleveland, Ms
- N••• F•••••••• G••••• I••• formerFeb 10, 2009 to Jul 22, 2010 · Clevland, Ms
- A•••••• A••••••• S••••••• formerFeb 5, 2008 to Feb 11, 2009 · Cleveland, Ms
Moves
a registration end followed by a registration begin elsewhere
- O•••• W•••••• I••• to L•• F•••••••• L••left Nov 23, 2024, registered Nov 5, 2025 (347 days) · Affiliated broker-dealer or bank to another · moved with a team
- S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
- I••••••••• A••••••• S••••••• I•• to S••••••••• A•••••• A•••••••• I•••left Jul 17, 2020, registered Jul 17, 2020 (0 days) · corporate re-registration, not a move
- N••• F•••••••• G••••• I••• to I••••••••• A••••••• S••••••• I••left Jul 22, 2010, registered Aug 18, 2010 (27 days) · Other
- A•••••• A••••••• S••••••• to N••• F•••••••• G••••• I•••left Feb 11, 2009, registered Feb 10, 2009 (-1 days) · Other
Signals
- ••• LockedNov 23, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address