DFX Intelligence
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Registered advisor
C••••••••• S•••••• M••••
Feed of 09/14/2026
Also filed as C•••• M••••
At current firm
3 y
since Oct 14, 2022
In the industry
28 y
since Jun 26, 1998 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
3
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 Oct 14, 2022 · F••••, Nd
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Oct 19, 2022 · Sioux Falls, Sd
- W•••• F•••• I••••••••• L•• unclassifiedNov 10, 2003 to Jan 3, 2011 · F••••, Nd
- I••••• F•••••••• C••••••••• formerSep 9, 2003 to Oct 17, 2003 · F••••, Nd
- C••••• A•••••• N••••••• L•• formerApr 19, 2000 to Sep 16, 2003 · F••••, Nd
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to R•• C•••••• M••••••• L••left Oct 19, 2022, registered Oct 14, 2022 (-5 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- I••••• F•••••••• C••••••••• to W•••• F•••• I••••••••• L••left Oct 17, 2003, registered Nov 10, 2003 (24 days) · Other
- C••••• A•••••• N••••••• L•• to I••••• F•••••••• C•••••••••left Sep 16, 2003, registered Sep 9, 2003 (-7 days) · Other
Signals
- ••• LockedOct 19, 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
- 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