DFX Intelligence
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Registered advisor
M••••• M••••••• C••••
Feed of 09/14/2026
Also filed as M••••• M• B••••••••• M• B••••••••• M••••••• C••••••••• M••••••• B••••••••• M• C••••
At current firm
4 y
since Jan 14, 2022
In the industry
19 y
since Feb 14, 2007 (earliest exam, job or registration)
Prior registered firms
5
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- A••••• A•• P••••••• S••••••• BD affiliated currentsince Jan 14, 2022 · Pittsburgh, Pa
- N••••••••• M••••• I••••••••• S••••••••• no RAUMApr 23, 2020 to Jan 12, 2022 · Pittsburgh, Pa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 5, 2010 to Oct 22, 2018 · Pittsburgh, Pa
- M••••• S•••••• wirehouseJun 1, 2009 to Dec 14, 2009 · Pittsburgh, Pa
- C•••••••• G••••• M•••••• I••• BD affiliatedApr 17, 2008 to Jun 1, 2009 · Pittsburgh, Pa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 25, 2007 to Sep 27, 2007 · Pittsburgh, Pa
Moves
a registration end followed by a registration begin elsewhere
- N••••••••• M••••• I••••••••• S••••••••• to A••••• A•• P••••••• S•••••••left Jan 12, 2022, registered Jan 14, 2022 (2 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to N••••••••• M••••• I••••••••• S•••••••••left Oct 22, 2018, registered Apr 23, 2020 (549 days) · Other
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Dec 14, 2009, registered Jan 5, 2010 (22 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• G••••• M•••••• I•••left Sep 27, 2007, registered Apr 17, 2008 (203 days) · Other
Signals
- ••• LockedJan 12, 2022 · Advisor changed firm · fact
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