DFX Intelligence
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Registered advisor
S••••• L••• M••••
Feed of 09/14/2026
Also filed as S••••• L••• M••••••••• L••• M••••••••• L••• M••••••••• L• M••••
At current firm
1 y
since Jun 18, 2025
In the industry
21 y
since Aug 1, 2005 (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
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Jun 18, 2025 · Hunt Valley, Md
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 21, 2006 to Jan 11, 2010 · New York, Ny
- L••• M•••• W••• W•••••• I••••••••• unclassifiedAug 1, 2005 to Feb 21, 2006 · Balto., Md
Moves
a registration end followed by a registration begin elsewhere
- C•••••••• G••••• M•••••• I••• to T••••• A••••••• S•••••••• I•••left Jan 11, 2010, registered Jun 18, 2025 (5637 days) · Other
- L••• M•••• W••• W•••••• I••••••••• to C•••••••• G••••• M•••••• I•••left Feb 21, 2006, registered Feb 21, 2006 (0 days) · corporate re-registration, not a move
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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address