DFX Intelligence
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Registered advisor
S•••• M•••••• O••••••
Feed of 09/14/2026
Also filed as S•••• M• O• B••••••••• M• O••••••••• M•••••• O•••••
At current firm
7 y
since Mar 5, 2019
In the industry
17 y
since Aug 8, 2009 (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
S63, 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
- R•••••• J•••• • A••••••••• I••• national BD currentsince Mar 5, 2019 · Boca Raton, Fl
- M••••• S•••••• wirehouseMar 10, 2015 to Mar 1, 2019 · Boca Raton, Fl
- V••• F•••••••• A•••••••• I••• BD affiliatedDec 8, 2012 to Feb 12, 2015 · Fort Lauderdale, Fl
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to R•••••• J•••• • A••••••••• I•••left Mar 1, 2019, registered Mar 5, 2019 (4 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- V••• F•••••••• A•••••••• I••• to M••••• S••••••left Feb 12, 2015, registered Mar 10, 2015 (26 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
- National broker-dealer RIAderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address