DFX Intelligence
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Registered advisor
M••••••• R•••• P••••••
Feed of 09/14/2026
Also filed as M••••••• R• R••••••••• R•••• R•••••
At current firm
3 y
since May 26, 2023
In the industry
25 y
since Jan 5, 2001 (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
S63, 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
- C•••••• S••••• • C••• I••• national BD currentsince May 26, 2023 · Phoenix, Az
- T• A••••••••• I••• formerNov 20, 2020 to Oct 14, 2022 · Omaha, Ne
- C•••• I••••••••• S••••••• C•••• formerMar 28, 2006 to May 5, 2006 · Chicago, Il
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••• to C•••••• S••••• • C••• I•••left Oct 14, 2022, registered May 26, 2023 (224 days) · channel change inside one enterprise, not a move · moved with a team
- C•••• I••••••••• S••••••• C•••• to T• A••••••••• I•••left May 5, 2006, registered Nov 20, 2020 (5313 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address