DFX Intelligence
RIA Intelligence
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Registered advisor
M•••••• D•••• M•••••
Feed of 09/14/2026
At current firm
1 y
since Jan 16, 2025
In the industry
16 y
since Oct 19, 2009 (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
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Jan 16, 2025 · Clearwater, Fl
- I••••• F•••••••• C••••••••• formerFeb 26, 2014 to Feb 15, 2018 · Clearwater, Fl
- C••••• • A••••••••• I••• independent RIAAug 13, 2013 to Feb 25, 2014 · Trinity, Fl
- I••••• F•••••••• C••••••••• formerOct 28, 2009 to Aug 2, 2013 · Trinity, Fl
Moves
a registration end followed by a registration begin elsewhere
- I••••• F•••••••• C••••••••• to L•• F•••••••• L••left Feb 15, 2018, registered Jan 16, 2025 (2527 days) · corporate re-registration, not a move
- C••••• • A••••••••• I••• to I••••• F•••••••• C•••••••••left Feb 25, 2014, registered Feb 26, 2014 (1 days) · Other
- I••••• F•••••••• C••••••••• to C••••• • A••••••••• I•••left Aug 2, 2013, registered Aug 13, 2013 (11 days) · Other
Signals
No dated event on this person.
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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address