DFX Intelligence
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M•••••• D• B••••
As of · the IAPD feed; also filed as M•••••• D•••• B••••••••• B••••
- At current firm
- 1 y
- In the industry
- 24 y
- Prior registered firms
- 4
- Signals
- 0
since Mar 31, 2025
As of · the IAPD feed; also filed as M•••••• D•••• B••••••••• B••••
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Registration history
IAPD current and previous registrations
- S•••••••• A••••••• L•• brokerage advisory currentsince Mar 31, 2025 · Burlington, Ma
- F••••••• P••••••• A•• W•••••••• A••••••• brokerage advisoryNov 10, 2022 to Mar 31, 2025 · Burlington, Ma
- M••••• S•••••• wirehouseApr 30, 2018 to Dec 2, 2021 · Boston, Ma
- A••••• A•• P••••••• S••••••• BD affiliatedOct 6, 2014 to Mar 19, 2018 · Boston, Ma
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 3, 2008 to Sep 30, 2014 · Boston, Ma
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- M••••• S•••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Dec 2, 2021, registered Nov 10, 2022 (343 days) · Wirehouse to affiliated broker-dealer or bank
- A••••• A•• P••••••• S••••••• to M••••• S••••••left Mar 19, 2018, registered Apr 30, 2018 (42 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••• A•• P••••••• S•••••••left Sep 30, 2014, registered Oct 6, 2014 (6 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
- Brokerage advisory programderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, the raw outside business text and any address in it, personal outside activities, branch street addressoutside businesses appear above as structured facts, reviewed, with a short quote