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
E••••• M•••• M•••••••••
Feed of 09/14/2026
At current firm
0 y
since Oct 22, 2025
In the industry
21 y
since Dec 15, 2004 (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
S66
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- E••••• J•••• national BD currentsince Oct 22, 2025 · Marlborough, Ma
- A••••••••• F•••••••• S•••••••• L•• national BDApr 1, 2022 to Sep 2, 2025 · Westborough, Ma
- W•••• F•••• A••••••• wirehouseMay 28, 2010 to Apr 6, 2022 · Wellesley, Ma
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 16, 2004 to Jun 9, 2010 · Wellesley Hills, Ma
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• F•••••••• S•••••••• L•• to E••••• J••••left Sep 2, 2025, registered Oct 22, 2025 (50 days) · Affiliated broker-dealer or bank to another · moved with a team
- W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••left Apr 6, 2022, registered Apr 1, 2022 (-5 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Jun 9, 2010, registered May 28, 2010 (-12 days) · Wirehouse to wirehouse
Signals
- ••• LockedSep 2, 2025 · Advisor changed firm · fact
- ••• LockedApr 6, 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
- 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