DFX Intelligence
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Registered advisor
C•••••• M•• N•••
Feed of 09/14/2026
Also filed as C•••••• M•• V••••••••• M•• N••••••••• N••••••••• M• N•••
At current firm
10 y
since Sep 21, 2016
In the industry
23 y
since Dec 18, 2002 (earliest exam, job or registration)
Prior registered firms
3
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 Sep 21, 2016 · Alpharetta, Ga
- W•••• F•••• A••••••• wirehouseJun 17, 2011 to Jun 16, 2015 · Minneapolis, Mn
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Oct 9, 2010 · Atlanta, Ga
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJul 30, 2003 to Oct 23, 2009 · Atlanta, Ga
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to T••••• A••••••• S•••••••• I•••left Jun 16, 2015, registered Sep 21, 2016 (463 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Oct 9, 2010, registered Jun 17, 2011 (251 days) · Wirehouse to wirehouse
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address