DFX Intelligence
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Registered advisor
A••• M•••••• C••••••
Feed of 09/14/2026
At current firm
2 y
since Jun 24, 2024
In the industry
20 y
since Jun 6, 2006 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- M••••• S•••••• wirehouse currentsince Jun 24, 2024 · Louisville, Ky
- U•• F•••••••• S••••••• I••• wirehouseJan 21, 2015 to Jul 2, 2024 · Louisville, Ky
- M••••• S•••••• wirehouseOct 18, 2013 to Jan 26, 2015 · Louisville, Ky
- U•• F•••••••• S••••••• I••• wirehouseApr 14, 2011 to Oct 28, 2013 · Louisville, Ky
- N•••••• I••••••••• I••• unclassifiedApr 28, 2008 to Aug 26, 2009 · Louisville, Ky
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to M••••• S••••••left Jul 2, 2024, registered Jun 24, 2024 (-8 days) · Wirehouse to wirehouse · moved with a team
- M••••• S•••••• to U•• F•••••••• S••••••• I•••left Jan 26, 2015, registered Jan 21, 2015 (-5 days) · Wirehouse to wirehouse
- U•• F•••••••• S••••••• I••• to M••••• S••••••left Oct 28, 2013, registered Oct 18, 2013 (-10 days) · Wirehouse to wirehouse
- N•••••• I••••••••• I••• to U•• F•••••••• S••••••• I•••left Aug 26, 2009, registered Apr 14, 2011 (596 days) · Other
Signals
- ••• LockedJul 2, 2024 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
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