DFX Intelligence
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Registered advisor
M••• L•••••••••
Feed of 09/14/2026
At current firm
9 y
since Nov 15, 2016
In the industry
26 y
since Nov 8, 1999 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
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
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Nov 15, 2016 · Franklin, Ma
- S•••••••• A••••••• L•• national BDFeb 4, 2015 to Sep 13, 2016 · Providence, Ri
- V••• F•••••••• A•••••••• I••• BD affiliatedOct 4, 2003 to Dec 17, 2014 · Braintree, Ma
Moves
a registration end followed by a registration begin elsewhere
- S•••••••• A••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Sep 13, 2016, registered Nov 15, 2016 (63 days) · Other
- V••• F•••••••• A•••••••• I••• to S•••••••• A••••••• L••left Dec 17, 2014, registered Feb 4, 2015 (49 days) · Other
Signals
No dated event on this person.
Transition signals
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