DFX Intelligence
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Registered advisor
C••••••••• M••••••• W••••
Feed of 09/15/2026
At current firm
5 y
since Mar 26, 2021
In the industry
19 y
since Oct 28, 2006 (earliest exam, job or registration)
Prior registered firms
2
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
- K•• I••••••••• S••••••• L•• BD affiliated currentsince Mar 26, 2021 · Niagara Falls, Ny
- H••• S••••••••• •••• I••• BD affiliatedSep 30, 2010 to Jul 11, 2012 · Lackawanna, Ny
- C•••• I••••••••• S••••••• C•••• formerAug 20, 2007 to Mar 8, 2010 · Mesa, Az
Moves
a registration end followed by a registration begin elsewhere
- H••• S••••••••• •••• I••• to K•• I••••••••• S••••••• L••left Jul 11, 2012, registered Mar 26, 2021 (3180 days) · Other
- C•••• I••••••••• S••••••• C•••• to H••• S••••••••• •••• I•••left Mar 8, 2010, registered Sep 30, 2010 (206 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address