DFX Intelligence
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Registered advisor
W•••••• M•••••• C•••••
Feed of 09/17/2026
Also filed as B••• C•••••
At current firm
5 y
since May 15, 2021
In the industry
26 y
since Nov 24, 1999 (earliest exam, job or registration)
Prior registered firms
2
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
0
dated events on this person
Registration history
IAPD current and previous registrations
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince May 15, 2021 · Hingham, Ma
- E•••••••• A•••••••• L•• national BDJan 4, 2011 to Jun 24, 2014 · Wellesley, Ma
- P••• A••••• S••••••••• L•• BD affiliatedMay 15, 2006 to Jan 7, 2011 · Rockland, Ma
Moves
a registration end followed by a registration begin elsewhere
- E•••••••• A•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Jun 24, 2014, registered May 15, 2021 (2517 days) · Affiliated broker-dealer or bank to another
- P••• A••••• S••••••••• L•• to E•••••••• A•••••••• L••left Jan 7, 2011, registered Jan 4, 2011 (-3 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
- National broker-dealer RIAderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address