DFX Intelligence
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Registered advisor
C••••••••• A••••• M••••
Feed of 09/14/2026
Also filed as C••••••••• M••••••••• A••••• M••••
At current firm
2 y
since Nov 27, 2023
In the industry
20 y
since Jul 25, 2006 (earliest exam, job or registration)
Prior registered firms
5
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince Nov 27, 2023 · Bethel Park, Pa
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJun 2, 2014 to Nov 29, 2023 · Pittsburgh, Pa
- S•••••• N••••••• • C••••••• I••••••••• national BDFeb 2, 2010 to Jun 4, 2014 · Pittsburgh, Pa
- M••••• S•••••• wirehouseJun 1, 2009 to Feb 2, 2010 · Pittsburgh, Pa
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Pittsburg, Pa
- M••••• S•••••• D• I••• unclassifiedAug 3, 2006 to Apr 2, 2007 · Pittsburg, Pa
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to W•••• F•••• A•••••••left Nov 29, 2023, registered Nov 27, 2023 (-2 days) · Affiliated broker-dealer or bank to wirehouse
- S•••••• N••••••• • C••••••• I••••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jun 4, 2014, registered Jun 2, 2014 (-2 days) · Other
- M••••• S•••••• to S•••••• N••••••• • C••••••• I•••••••••left Feb 2, 2010, registered Feb 2, 2010 (0 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedNov 29, 2023 · Advisor changed firm · fact
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
- Wirehousederived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address