DFX Intelligence
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Registered advisor
C••••••••• M•••••• I••••••
Feed of 09/14/2026
Also filed as C•••• I••••••••• M•••••• I••••••••• M•••••• I••••••••• I••••••••• M• I••••••
At current firm
5 y
since Apr 8, 2021
In the industry
20 y
since Aug 17, 2006 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
3
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
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Apr 8, 2021 · Latham, Ny
- A••••• A•• P••••••• S••••••• BD affiliatedOct 29, 2013 to Apr 9, 2021 · Latham, Ny
- T• A••••••••• I••• formerMay 13, 2010 to Sep 30, 2013 · Niskayuna, Ny
- T• A••••••••• I••••••••• M••••••••• L•• formerMay 13, 2010 to Sep 30, 2013 · Niskayna, Ny
- T• W••••• M••••••••• S••••••• I••• unclassifiedNov 17, 2009 to Apr 26, 2010 · Albany, Ny
- C••••• I••••••••• S••••••• L•• formerFeb 13, 2009 to Nov 17, 2009 · Niskayuna, Ny
- M••••• S•••••• • C•• L•• unclassifiedJun 11, 2007 to Jan 27, 2009 · Albany, Ny
Moves
a registration end followed by a registration begin elsewhere
- A••••• A•• P••••••• S••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 9, 2021, registered Apr 8, 2021 (-1 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- T• A••••••••• I••••••••• M••••••••• L•• to A••••• A•• P••••••• S•••••••left Sep 30, 2013, registered Oct 29, 2013 (29 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Sep 30, 2013, registered May 13, 2010 (-1236 days) · channel change inside one enterprise, not a move
- T• W••••• M••••••••• S••••••• I••• to T• A••••••••• I•••left Apr 26, 2010, registered May 13, 2010 (17 days) · Other
- C••••• I••••••••• S••••••• L•• to T• W••••• M••••••••• S••••••• I•••left Nov 17, 2009, registered Nov 17, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• • C•• L•• to C••••• I••••••••• S••••••• L••left Jan 27, 2009, registered Feb 13, 2009 (17 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
- Wirehousederived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address