DFX Intelligence
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Registered advisor
M•••••• C•••••• M••••
Feed of 09/14/2026
At current firm
3 y
since Jun 1, 2023
In the industry
18 y
since Feb 18, 2008 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
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 Jun 1, 2023 · Ithaca, Ny
- C••••• I••••••••• A••••••• L•• BD affiliatedJan 18, 2019 to May 17, 2023 · Rochester, Ny
- M•• S••••••••• I••• unclassifiedAug 5, 2015 to Jan 15, 2019 · Webster, Ny
Moves
a registration end followed by a registration begin elsewhere
- C••••• I••••••••• A••••••• L•• to A••••• A•• P••••••• S•••••••left May 17, 2023, registered Jun 1, 2023 (15 days) · Affiliated broker-dealer or bank to another
- M•• S••••••••• I••• to C••••• I••••••••• A••••••• L••left Jan 15, 2019, registered Jan 18, 2019 (3 days) · Other
Signals
- ••• LockedMay 17, 2023 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address