DFX Intelligence
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Registered advisor
M•••••• P•••••
Feed of 09/14/2026
Also filed as M•••••• C•••••• P•••••
At current firm
2 y
since Nov 1, 2023
In the industry
21 y
since Jul 20, 2005 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
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 1, 2023 · St. Louis, Mo
- C•••••••• G••••• M•••••• I••• BD affiliatedAug 18, 2022 to Sep 20, 2022 · O'Fallon, Mo
- A••••• A•• P••••••• S••••••• BD affiliatedNov 4, 2016 to Nov 13, 2020 · St. Louis, Mo
- W•••• F•••• A••••••• wirehouseJan 27, 2015 to Oct 17, 2016 · St. Louis, Mo
- W•••• F•••• A••••••• wirehouseJul 1, 2014 to Oct 14, 2016 · St. Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- C•••••••• G••••• M•••••• I••• to W•••• F•••• A•••••••left Sep 20, 2022, registered Nov 1, 2023 (407 days) · Affiliated broker-dealer or bank to wirehouse
- A••••• A•• P••••••• S••••••• to C•••••••• G••••• M•••••• I•••left Nov 13, 2020, registered Aug 18, 2022 (643 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to A••••• A•• P••••••• S•••••••left Oct 17, 2016, registered Nov 4, 2016 (18 days) · Other
- W•••• F•••• A••••••• to W•••• F•••• A•••••••left Oct 14, 2016, registered Jan 27, 2015 (-626 days) · channel change inside one enterprise, not a move · moved with a team
Signals
- ••• LockedSep 20, 2022 · 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address