DFX Intelligence
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Registered advisor
M••• L••• F•••••••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as M••• L••• F•••••••• L••• F••••••••• F••• M••••
At current firm
1 y
since Jun 6, 2025
In the industry
25 y
since Jun 13, 2001 (earliest exam, job or registration)
Prior registered firms
5
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
- M••••• S•••••• wirehouse currentsince Jun 6, 2025 · Paramus, Nj
- U•• F•••••••• S••••••• I••• wirehouseJan 21, 2016 to Jul 3, 2025 · Paramus, Nj
- M••••• S•••••• wirehouseMay 2, 2014 to Jan 13, 2016 · Paramus, Nj
- U•• F•••••••• S••••••• I••• wirehouseDec 15, 2011 to May 2, 2014 · Paramus, Nj
- M••••• S•••••• wirehouseJun 1, 2009 to Dec 12, 2011 · Paramus, Nj
- C•••••••• G••••• M•••••• I••• BD affiliatedNov 3, 2008 to Jun 1, 2009 · Paramus, Nj
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to M••••• S••••••left Jul 3, 2025, registered Jun 6, 2025 (-27 days) · Wirehouse to wirehouse · moved with a team
- M••••• S•••••• to U•• F•••••••• S••••••• I•••left Jan 13, 2016, registered Jan 21, 2016 (8 days) · Wirehouse to wirehouse · moved with a team
- U•• F•••••••• S••••••• I••• to M••••• S••••••left May 2, 2014, registered May 2, 2014 (0 days) · Wirehouse to wirehouse
- M••••• S•••••• to U•• F•••••••• S••••••• I•••left Dec 12, 2011, registered Dec 15, 2011 (3 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedJul 3, 2025 · 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
- Wirehousederived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address