DFX Intelligence
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Registered advisor
M•••••• C••••••••• D••••••
Feed of 09/14/2026
At current firm
11 y
since Jun 15, 2015
In the industry
20 y
since Jun 28, 2006 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
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
- A••••• A•• P••••••• S••••••• BD affiliated currentsince Jun 15, 2015 · Durham, Nc
- T• A••••••••• I••••••••• M••••••••• L•• formerSep 15, 2008 to May 27, 2015 · Cary, Nc
- T• A••••••••• I••• formerSep 15, 2008 to May 27, 2015 · Cary, Nc
- A••••••••• F•••••••• S•••••••• L•• national BDJun 29, 2006 to Sep 10, 2008 · Raleigh, Nc
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••••••••• M••••••••• L•• to A••••• A•• P••••••• S•••••••left May 27, 2015, registered Jun 15, 2015 (19 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left May 27, 2015, registered Sep 15, 2008 (-2445 days) · channel change inside one enterprise, not a move
- A••••••••• F•••••••• S•••••••• L•• to T• A••••••••• I•••left Sep 10, 2008, registered Sep 15, 2008 (5 days) · Affiliated broker-dealer or bank to a newly registered adviser
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address