DFX Intelligence
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Registered advisor
C••••••••• M•••••• S•••••••
Certified Financial Planner
Feed of 09/14/2026
At current firm
1 y
since Mar 31, 2025
In the industry
22 y
since Nov 18, 2003 (earliest exam, job or registration)
Prior registered firms
7
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 · New York, Ny
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Mar 31, 2025 · Boston, Ma
- S•••••••• A••••••• L•• national BDNov 6, 2013 to Jul 13, 2018 · New York, Ny
- H••• S••••••••• •••• I••• BD affiliatedDec 6, 2007 to May 21, 2010 · New York, Ny
- K•• I••••••••• S••••••• L•• BD affiliatedFeb 6, 2006 to Oct 4, 2007 · Boise, Id
- C•••• I••••••••• S••••••• C•••• formerJul 6, 2005 to Nov 17, 2005 · Draper, Ut
- B••• O•• S••••••••• C••••••••• unclassifiedApr 28, 2004 to Jul 6, 2005 · Draper, Ut
- A••••••••• F•••••••• S•••••••• L•• national BDNov 19, 2003 to Apr 13, 2004 · Midvale, Ut
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
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- H••• S••••••••• •••• I••• to S•••••••• A••••••• L••left May 21, 2010, registered Nov 6, 2013 (1265 days) · Other
- K•• I••••••••• S••••••• L•• to H••• S••••••••• •••• I•••left Oct 4, 2007, registered Dec 6, 2007 (63 days) · Other
- C•••• I••••••••• S••••••• C•••• to K•• I••••••••• S••••••• L••left Nov 17, 2005, registered Feb 6, 2006 (81 days) · Other
- B••• O•• S••••••••• C••••••••• to C•••• I••••••••• S••••••• C••••left Jul 6, 2005, registered Jul 6, 2005 (0 days) · corporate re-registration, not a move
- A••••••••• F•••••••• S•••••••• L•• to B••• O•• S••••••••• C•••••••••left Apr 13, 2004, registered Apr 28, 2004 (15 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address