DFX Intelligence
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Registered advisor
M••••••• A•• H•••••
Feed of 09/15/2026
Also filed as M••••••• A• C••••••••• C••••••••• A•• C••••••
At current firm
2 y
since Apr 29, 2024
In the industry
25 y
since Oct 9, 2000 (earliest exam, job or registration)
Prior registered firms
7
IAPD previous registrations
State registrations
1
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
- L•• F•••••••• L•• BD affiliated currentsince Apr 29, 2024 · Fairfield, Ct
- A••••••••• F•••••••• S•••••••• L•• national BDOct 4, 2019 to May 2, 2024 · Fairfield, Ct
- C••••••• S••••••••• I••• BD affiliatedJun 21, 2016 to Oct 7, 2019 · Deep River, Ct
- L•• F•••••••• L•• BD affiliatedJan 3, 2012 to Jun 30, 2016 · New Haven, Ct
- M•• F•••••••• S•••••••• I••• formerDec 20, 2010 to Feb 1, 2012 · West Palm Beach, Fl
- C•••• I••••••••• S••••••• C•••• formerMay 2, 2009 to Aug 4, 2009 · Jupiter, Fl
- W••• I••••••••• I••• unclassifiedJun 28, 2007 to May 2, 2009 · Jupiter, Fl
- C••••••• I••••••••• S••••••• unclassifiedJul 13, 2005 to Jan 5, 2006 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left May 2, 2024, registered Apr 29, 2024 (-3 days) · Affiliated broker-dealer or bank to another
- C••••••• S••••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Oct 7, 2019, registered Oct 4, 2019 (-3 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to C••••••• S••••••••• I•••left Jun 30, 2016, registered Jun 21, 2016 (-9 days) · Other
- M•• F•••••••• S•••••••• I••• to L•• F•••••••• L••left Feb 1, 2012, registered Jan 3, 2012 (-29 days) · Other
- C•••• I••••••••• S••••••• C•••• to M•• F•••••••• S•••••••• I•••left Aug 4, 2009, registered Dec 20, 2010 (503 days) · Other
- W••• I••••••••• I••• to C•••• I••••••••• S••••••• C••••left May 2, 2009, registered May 2, 2009 (0 days) · corporate re-registration, not a move
- C••••••• I••••••••• S••••••• to W••• I••••••••• I•••left Jan 5, 2006, registered Jun 28, 2007 (539 days) · Other
Signals
- ••• LockedMay 2, 2024 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address