DFX Intelligence
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Registered advisor
M••• R••• B•••••••
Feed of 09/14/2026
At current firm
8 y
since Jul 30, 2018
In the industry
24 y
since Nov 16, 2001 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
3
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
- C••••••••• F•••••••• N•••••• national BD currentsince Jul 30, 2018 · Warwick, Ri
- W•••• F•••• A••••••• wirehouseJan 31, 2014 to Jul 30, 2018 · Westport, Ct
- U•• F•••••••• S••••••• I••• wirehouseOct 31, 2008 to Feb 12, 2014 · Westport, Ct
- C•••••••• G••••• M•••••• I••• BD affiliatedNov 29, 2004 to Nov 17, 2008 · Providence, Ri
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to C••••••••• F•••••••• N••••••left Jul 30, 2018, registered Jul 30, 2018 (0 days) · Wirehouse to affiliated broker-dealer or bank
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Feb 12, 2014, registered Jan 31, 2014 (-12 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to U•• F•••••••• S••••••• I•••left Nov 17, 2008, registered Oct 31, 2008 (-17 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address