DFX Intelligence
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Registered advisor
M•••••• A•••• C•••••••••
Feed of 09/15/2026
At current firm
1 y
since Dec 9, 2024
In the industry
26 y
since Jan 1, 2000 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
4
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Dec 9, 2024 · Logan, Ut
- O•••• W•••••• I••• BD affiliatedSep 1, 2023 to Dec 11, 2024 · Tucson, Az
- S•••••••• F••••••••• I••• formerJul 29, 2020 to Sep 1, 2023 · Englishtown, Nj
- V••• F•••••••• A•••••••• I••• BD affiliatedJan 1, 2004 to Aug 3, 2020 · Englishtown, Nj
- L••••• S••••• S••••••••• I••• unclassifiedJul 3, 2002 to Jan 1, 2004 · Logan, Ut
Moves
a registration end followed by a registration begin elsewhere
- O•••• W•••••• I••• to L•• F•••••••• L••left Dec 11, 2024, registered Dec 9, 2024 (-2 days) · Affiliated broker-dealer or bank to another
- S•••••••• F••••••••• I••• to O•••• W•••••• I•••left Sep 1, 2023, registered Sep 1, 2023 (0 days) · corporate re-registration, not a move
- V••• F•••••••• A•••••••• I••• to S•••••••• F••••••••• I•••left Aug 3, 2020, registered Jul 29, 2020 (-5 days) · Affiliated broker-dealer or bank to another
- L••••• S••••• S••••••••• I••• to V••• F•••••••• A•••••••• I•••left Jan 1, 2004, registered Jan 1, 2004 (0 days) · corporate re-registration, not a move
Signals
- M•••••• A•••• C••••••••• left O•••• W•••••• I••• for L•• F•••••••• L•• (registered 2024-12-09)Dec 11, 2024 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet. The 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.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address