DFX Intelligence
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Registered advisor
S•••••• M• L•••
Feed of 09/14/2026
Also filed as S•••••• M•••• B••••••••• M•••• L•••
At current firm
1 y
since Mar 31, 2025
In the industry
21 y
since Mar 9, 2005 (earliest exam, job or registration)
Prior registered firms
8
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
0
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Farmington, Mi
- F••••••• P••••••• A•• W•••••••• A••••••• formerAug 26, 2021 to Mar 31, 2025 · Covington, Ky
- A•••••• A••••••• S••••••• formerOct 5, 2017 to Apr 29, 2019 · White Lake, Mi
- A•••••• A••••••• S••••••• formerOct 6, 2015 to Apr 4, 2017 · Novi, Mi
- A•••••• A••••••• S••••••• formerMar 14, 2013 to Mar 24, 2014 · White Lake, Mi
- P•• W••••• M••••••••• BD affiliatedDec 11, 2012 to Feb 1, 2013 · Commerce Twp., Mi
- T• A••••••••• I••• formerNov 10, 2009 to Mar 30, 2011 · Birmingham, Mi
- T• A••••••••• I••••••••• M••••••••• L•• formerNov 10, 2009 to Mar 30, 2011 · Birmingham, Mi
- C••••••• S••••••••• formerMar 9, 2005 to Feb 21, 2006 · Redford, Mi
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
- A•••••• A••••••• S••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Apr 29, 2019, registered Aug 26, 2021 (850 days) · Affiliated broker-dealer or bank to another
- P•• W••••• M••••••••• to A•••••• A••••••• S•••••••left Feb 1, 2013, registered Mar 14, 2013 (41 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Mar 30, 2011, registered Nov 10, 2009 (-505 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Mar 30, 2011, registered Nov 10, 2009 (-505 days) · channel change inside one enterprise, not a move
- C••••••• S••••••••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 21, 2006, registered Nov 10, 2009 (1358 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
- National broker-dealer RIAderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address