DFX Intelligence
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Registered advisor
S•••••• M•••••• D••••••
Feed of 09/14/2026
Also filed as S•••••• D••••••••• M• D••••••
At current firm
2 y
since May 10, 2024
In the industry
19 y
since Jun 29, 2007 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- C••••••••• F•••••••• N•••••• national BD currentsince May 10, 2024 · Providence, Ri
- M••••• S•••••• wirehouseMar 4, 2024 to May 21, 2024 · Providence, Ri
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to C••••••••• F•••••••• N••••••left May 21, 2024, registered May 10, 2024 (-11 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
Signals
- ••• LockedMay 21, 2024 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address