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
M••••• C•••••
Feed of 09/14/2026
Also filed as M••••• J• C••••••••• J•••••••• C••••••••• J• C•••••
At current firm
7 y
since Jul 22, 2019
In the industry
20 y
since Oct 28, 2005 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Jul 22, 2019 · Washington, Dc
- B••••••• C•••••• I••• formerDec 23, 2008 to Jun 11, 2009 · Washington, Dc
Moves
a registration end followed by a registration begin elsewhere
- B••••••• C•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 11, 2009, registered Jul 22, 2019 (3693 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