DFX Intelligence
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Registered advisor
M•••••• A•••••••• R••••
Feed of 09/14/2026
At current firm
17 y
since Jun 1, 2009
In the industry
26 y
since Apr 18, 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
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
- M••••• S•••••• wirehouse currentsince Jun 1, 2009 · Park City, Ut
- M••••• S•••••• • C•• L•• unclassifiedSep 15, 2008 to Jun 1, 2009 · Park City, Ut
- W•••• F•••• A••••••• wirehouseMar 11, 2005 to Sep 12, 2008 · Park City, Ut
- Z•••• D•••••• I••• unclassifiedFeb 6, 2003 to Mar 11, 2005 · Park City, Ut
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to M••••• S•••••• • C•• L••left Sep 12, 2008, registered Sep 15, 2008 (3 days) · Other
- Z•••• D•••••• I••• to W•••• F•••• A•••••••left Mar 11, 2005, registered Mar 11, 2005 (0 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
- Wirehousederived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address