DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
D••••• M•••••• O••••
Feed of 09/14/2026
At current firm
2 y
since Feb 21, 2024
In the industry
15 y
since Jun 20, 2011 (earliest exam, job or registration)
Prior registered firms
3
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
2
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Feb 21, 2024 · Naples, Fl
- A••••••••• F•••••••• S•••••••• L•• national BDApr 18, 2023 to Feb 21, 2024 · Naples, Fl
- M••••• S•••••• wirehouseApr 12, 2016 to Apr 10, 2023 · Naples, Fl
- W•••• F•••• A••••••• wirehouseJun 22, 2011 to Mar 28, 2016 · Fort Myers, Fl
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left Feb 21, 2024, registered Feb 21, 2024 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
- M••••• S•••••• to A••••••••• F•••••••• S•••••••• L••left Apr 10, 2023, registered Apr 18, 2023 (8 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• A••••••• to M••••• S••••••left Mar 28, 2016, registered Apr 12, 2016 (15 days) · Wirehouse to wirehouse
Signals
- ••• LockedFeb 21, 2024 · Advisor changed firm · fact
- ••• LockedApr 10, 2023 · Advisor changed firm · fact
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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address