DFX Intelligence
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Registered advisor
M•••••• C••••• V•••••••••
Feed of 09/14/2026
Also filed as M•••••• C••••• V•• S•••••••
At current firm
16 y
since Dec 21, 2009
In the industry
20 y
since Nov 26, 2005 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
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
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Dec 21, 2009 · Rochester, Mn
- U•• F•••••••• S••••••• I••• wirehouseAug 12, 2006 to Dec 31, 2007 · Weehawken, Nj
- P•••• S•••••• • C•• institutionalApr 3, 2006 to Aug 12, 2006 · Minneapolis, Mn
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Dec 31, 2007, registered Dec 21, 2009 (721 days) · Wirehouse to affiliated broker-dealer or bank
- P•••• S•••••• • C•• to U•• F•••••••• S••••••• I•••left Aug 12, 2006, registered Aug 12, 2006 (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
- National broker-dealer RIAderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address