DFX Intelligence
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Registered advisor
N••••• R• M••••
Feed of 09/15/2026
Also filed as N••••• R• M••••••••• R••• M••••
At current firm
6 y
since Nov 27, 2019
In the industry
18 y
since Mar 6, 2008 (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
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••••••••• F•••••••• S•••••••• L•• national BD currentsince Nov 27, 2019 · Boca Raton, Fl
- M••••• S•••••• wirehouseMar 10, 2011 to Dec 2, 2019 · Boca Raton, Fl
- E••••• J•••• national BDMar 24, 2008 to Mar 8, 2011 · West Palm Beach, Fl
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to A••••••••• F•••••••• S•••••••• L••left Dec 2, 2019, registered Nov 27, 2019 (-5 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- E••••• J•••• to M••••• S••••••left Mar 8, 2011, registered Mar 10, 2011 (2 days) · Affiliated broker-dealer or bank to wirehouse
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address