DFX Intelligence
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Registered advisor
M•••••• L•••• S•••••
Feed of 09/14/2026
Also filed as M•••••• S•••••
At current firm
3 y
since Aug 14, 2023
In the industry
16 y
since Jan 8, 2010 (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, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• national BD currentsince Aug 14, 2023 · Raleigh, Nc
- T• A••••••••• I••• formerFeb 27, 2018 to Oct 14, 2022 · Raleigh, Nc
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 26, 2018 to Sep 7, 2023 · Omaha, Ne
- S•••••••• I••••••••• M••••••••• formerJan 30, 2017 to Feb 26, 2018 · Saint L••••, Mo
- T• A••••••••• I••••••••• M••••••••• L•• formerMay 9, 2012 to Jan 27, 2016 · Paramus, Nj
- T• A••••••••• I••• formerMay 9, 2012 to Jan 27, 2016 · Paramus, Nj
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Sep 7, 2023, registered Feb 27, 2018 (-2018 days) · channel change inside one enterprise, not a move · moved with a team
- T• A••••••••• I••• to C•••••• S••••• • C••• I•••left Oct 14, 2022, registered Aug 14, 2023 (304 days) · channel change inside one enterprise, not a move · moved with a team
- S•••••••• I••••••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 26, 2018, registered Feb 26, 2018 (0 days) · corporate re-registration, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Jan 27, 2016, registered May 9, 2012 (-1358 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to S•••••••• I••••••••• M•••••••••left Jan 27, 2016, registered Jan 30, 2017 (369 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
- National broker-dealer RIAderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address