DFX Intelligence
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Registered advisor
B•••• M•••••• W•••
Feed of 09/14/2026
At current firm
5 y
since Oct 20, 2020
In the industry
15 y
since Nov 17, 2010 (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
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Oct 20, 2020 · Shelton, Ct
- N••••••••• M••••• I••••••••• S••••••••• no RAUMJun 20, 2011 to Nov 4, 2020 · Stamford, Ct
- M•• F•••••••• S•••••••• I••• formerNov 30, 2010 to Jun 2, 2011 · Glastonbury, Ct
Moves
a registration end followed by a registration begin elsewhere
- N••••••••• M••••• I••••••••• S••••••••• to M•• I•••••••• S•••••••• L••left Nov 4, 2020, registered Oct 20, 2020 (-15 days) · Other
- M•• F•••••••• S•••••••• I••• to N••••••••• M••••• I••••••••• S•••••••••left Jun 2, 2011, registered Jun 20, 2011 (18 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address