DFX Intelligence
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Registered advisor
B•••• M•••••
Feed of 09/14/2026
Also filed as B•••• K•••• M••••••••• K•••• M••••• J••••••• K•••• M••••••••• K•••• M••••••••• K•••• M••••••••• K•••• M••••••••• K•••• M••••••••• K•••• M••••••••• K• M•••••
At current firm
9 y
since May 3, 2017
In the industry
20 y
since Jan 4, 2006 (earliest exam, job or registration)
Prior registered firms
7
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
2
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
- W•••• F•••• A••••••• wirehouse currentsince Mar 18, 2026 · Raleigh, Nc
- W•••• F•••• A••••••• wirehouse currentsince May 3, 2017 · St. Louis, Mo
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 15, 2013 to Mar 31, 2017 · New York, Ny
- W•••• F•••• A••••••• wirehouseApr 18, 2013 to Oct 9, 2013 · Charlotte, Nc
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 27, 2011 to Apr 30, 2012 · New York, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 6, 2010 to May 12, 2011 · New York, Ny
- M••••• S•••••• wirehouseJun 1, 2009 to Feb 12, 2010 · Purchase, Ny
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 9, 2008 to Jun 1, 2009 · Warren, Nj
- C•••••••• G••••• M•••••• I••• BD affiliatedJan 12, 2006 to Jan 24, 2008 · Orlando, Fl
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Mar 31, 2017, registered May 3, 2017 (33 days) · Wirehouse to wirehouse · moved with a team
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 9, 2013, registered Nov 15, 2013 (37 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to W•••• F•••• A•••••••left Apr 30, 2012, registered Apr 18, 2013 (353 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• G••••• M•••••• I•••left May 12, 2011, registered May 27, 2011 (15 days) · Other
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 12, 2010, registered Apr 6, 2010 (53 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
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
- Wirehousederived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address