DFX Intelligence
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Registered advisor
M•••••• D• S••••••
Feed of 09/15/2026
Also filed as M•••••• D•••• S••••••
At current firm
4 y
since Apr 22, 2022
In the industry
24 y
since May 20, 2002 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince Apr 22, 2022 · Middletown, De
- R•• C•••••• M••••••• L•• national BDOct 11, 2016 to Jan 20, 2022 · Wilmington, De
- J••• M••••• S••••••••• L•• wirehouseAug 25, 2016 to Oct 18, 2016 · Newark, De
- A••••••••• F•••••••• S•••••••• L•• national BDMay 21, 2002 to Jan 9, 2003 · Wilmington, De
Moves
a registration end followed by a registration begin elsewhere
- R•• C•••••• M••••••• L•• to W•••• F•••• A•••••••left Jan 20, 2022, registered Apr 22, 2022 (92 days) · Affiliated broker-dealer or bank to wirehouse
- J••• M••••• S••••••••• L•• to R•• C•••••• M••••••• L••left Oct 18, 2016, registered Oct 11, 2016 (-7 days) · Wirehouse to affiliated broker-dealer or bank
- A••••••••• F•••••••• S•••••••• L•• to J••• M••••• S••••••••• L••left Jan 9, 2003, registered Aug 25, 2016 (4977 days) · Affiliated broker-dealer or bank to wirehouse
Signals
- ••• LockedJan 20, 2022 · Advisor changed firm · fact
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
- Wirehousederived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address