DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
M••••••• W•••••
Feed of 09/14/2026
Also filed as M••••••• S••••••
At current firm
2 y
since Jun 27, 2024
In the industry
25 y
since Aug 1, 2001 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
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 Jun 27, 2024 · Harbor Springs, Mi
- C••••• I••••••••• A••••••• L•• BD affiliatedMar 7, 2016 to Jun 27, 2024 · Harbor Springs, Mi
Moves
a registration end followed by a registration begin elsewhere
- C••••• I••••••••• A••••••• L•• to L•• F•••••••• L••left Jun 27, 2024, registered Jun 27, 2024 (0 days) · Affiliated broker-dealer or bank to another
Signals
- ••• LockedJun 27, 2024 · Advisor changed firm · fact
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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address