DFX Intelligence
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Feed of 09/14/2026
Also filed as C•••• R• M••••••••• R• M••••••••• M••••••
At current firm
8 y
since Apr 24, 2018
In the industry
20 y
since Jun 7, 2006 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- F••••• I••••••••• independent RIA currentsince Apr 24, 2018 · Plano, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 13, 2016 to Mar 20, 2018 · Garden City, Ny
- M•• F•••••••• S•••••••• I••• formerOct 21, 2011 to Feb 6, 2012 · Hauppauge, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 17, 2009 to Oct 20, 2009 · New York, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 24, 2007 to Dec 22, 2008 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F••••• I•••••••••left Mar 20, 2018, registered Apr 24, 2018 (35 days) · Wirehouse to independent RIA
- M•• F•••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 6, 2012, registered Oct 13, 2016 (1711 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M•• F•••••••• S•••••••• I•••left Oct 20, 2009, registered Oct 21, 2011 (731 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Independent wealth managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address