DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
R••••• R••• M•••••••
Feed of 09/15/2026
Also filed as R••••• R••• M••••••••• R••• M• C••••••••• M•••••••
At current firm
2 y
since Sep 11, 2024
In the industry
21 y
since Jun 29, 2005 (earliest exam, job or registration)
Prior registered firms
3
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Sep 11, 2024 · Walnut Creek, Ca
- M••••• S•••••• wirehouseSep 5, 2023 to May 16, 2024 · Plantation, Fl
- E•••••• C•••••• M••••••••• L•• formerSep 12, 2008 to Sep 5, 2023 · Arlington, Va
- A••••••••• F•••••••• S•••••••• L•• national BDJun 29, 2005 to Sep 19, 2006 · Atlanta, Ga
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to A••••••••• F•••••••• S•••••••• L••left May 16, 2024, registered Sep 11, 2024 (118 days) · Wirehouse to affiliated broker-dealer or bank
- E•••••• C•••••• M••••••••• L•• to M••••• S••••••left Sep 5, 2023, registered Sep 5, 2023 (0 days) · corporate re-registration, not a move
- A••••••••• F•••••••• S•••••••• L•• to E•••••• C•••••• M••••••••• L••left Sep 19, 2006, registered Sep 12, 2008 (724 days) · Other
Signals
- ••• LockedMay 16, 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address