DFX Intelligence
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Registered advisor
T•••••• O••••••••
Feed of 09/15/2026
Also filed as T•••••• O••••••••• M•••••• O••••••••• M• O••••••••• M• O••••••••• M•••••• O••••••••
At current firm
0 y
since Jun 4, 2026
In the industry
28 y
since Sep 1, 1998 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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
- J••• M••••• S••••••••• L•• wirehouse currentsince Jun 4, 2026 · Trexlertown, Pa
- S•••••••• A••••••• L•• national BDMar 31, 2025 to Jun 4, 2026 · Boston, Ma
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Mar 31, 2025 · Boston, Ma
- S•••••••• A••••••• L•• national BDJun 6, 2018 to Jul 13, 2018 · Center Valley, Pa
- A••••• A•• P••••••• S••••••• BD affiliatedApr 10, 2017 to May 14, 2018 · Center Valley, Pa
- F••••••• P••••••• T•••• C••••••• F•• unclassifiedOct 21, 2003 to Mar 28, 2007 · Boston, Ma
- S•••••••• A••••••• L•• national BDDec 19, 2002 to Apr 3, 2017 · Merrimack, Nh
Moves
a registration end followed by a registration begin elsewhere
- S•••••••• A••••••• L•• to J••• M••••• S••••••••• L••left Jun 4, 2026, registered Jun 4, 2026 (0 days) · Affiliated broker-dealer or bank to wirehouse
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- A••••• A•• P••••••• S••••••• to S•••••••• A••••••• L••left May 14, 2018, registered Jun 6, 2018 (23 days) · Affiliated broker-dealer or bank to another
- S•••••••• A••••••• L•• to F••••••• P••••••• T•••• C••••••• F••left Apr 3, 2017, registered Oct 21, 2003 (-4913 days) · Other
- F••••••• P••••••• T•••• C••••••• F•• to A••••• A•• P••••••• S•••••••left Mar 28, 2007, registered Apr 10, 2017 (3666 days) · Other
Signals
- ••• LockedJun 4, 2026 · 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
- Wirehousederived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address