DFX Intelligence
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Registered advisor
R••••• M••••••• C•••••••
Feed of 09/15/2026
Also filed as R••••• M••••••• C••••••••• M••••••• C•••••••
At current firm
5 y
since May 25, 2021
In the industry
26 y
since Feb 2, 2000 (earliest exam, job or registration)
Prior registered firms
3
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
0
dated events on this person
Registration history
IAPD current and previous registrations
- A••••• A•• P••••••• S••••••• BD affiliated currentsince May 25, 2021 · Melville, Ny
- S•••••••• A••••••• L•• national BDMar 29, 2016 to Aug 19, 2016 · Huntington Station, Ny
- M•• S••••••••• I••• unclassifiedAug 17, 2005 to Apr 25, 2014 · Baltimore, Md
- T• R••• P•••• A••••••• S•••••••• I••• BD affiliatedOct 31, 2002 to Aug 11, 2005 · Baltimore, Md
Moves
a registration end followed by a registration begin elsewhere
- S•••••••• A••••••• L•• to A••••• A•• P••••••• S•••••••left Aug 19, 2016, registered May 25, 2021 (1740 days) · Affiliated broker-dealer or bank to another
- M•• S••••••••• I••• to S•••••••• A••••••• L••left Apr 25, 2014, registered Mar 29, 2016 (704 days) · Other
- T• R••• P•••• A••••••• S•••••••• I••• to M•• S••••••••• I•••left Aug 11, 2005, registered Aug 17, 2005 (6 days) · Other
Signals
No dated event on this person.
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address