DFX Intelligence
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Registered advisor
M•••••• M•••••••• B•••••••••
Certified Financial Planner · Chartered Financial Consultant
Feed of 09/14/2026
Also filed as M•••••• Anne M••••••••
At current firm
13 y
since Mar 6, 2013
In the industry
24 y
since Jan 22, 2002 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
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
- H•••••• T••••••• • K•••• L•• independent RIA currentsince Mar 6, 2013 · Conshohocken, Pa
- M•• I•••••••• S•••••••• L•• BD affiliatedAug 8, 2008 to Feb 21, 2013 · Exton, Pa
Moves
a registration end followed by a registration begin elsewhere
- M•• I•••••••• S•••••••• L•• to H•••••• T••••••• • K•••• L••left Feb 21, 2013, registered Mar 6, 2013 (13 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The 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.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Independent wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address