DFX Intelligence
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Registered advisor
S•••••••• B•••••
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••wirehouseStaten Island, Nydual registrantIAPD 5733048
Feed of 09/14/2026
At current firm
3 y
since Jun 13, 2023
In the industry
16 y
since Jan 25, 2010 (earliest exam, job or registration)
Prior registered firms
4
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
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Jun 13, 2023 · Staten Island, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 27, 2019 to Jul 6, 2021 · New York, Ny
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Apr 8, 2015 · Staten Island, Ny
- C•••• I••••••••• S••••••• C•••• formerJul 6, 2010 to Oct 1, 2012 · Staten Island, Ny
- E•••••••• A•••••••• L•• national BDJan 25, 2010 to Jun 8, 2010 · Edison, Nj
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 8, 2015, registered Sep 27, 2019 (1633 days) · Wirehouse to wirehouse · moved with a team
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- E•••••••• A•••••••• L•• to C•••• I••••••••• S••••••• C••••left Jun 8, 2010, registered Jul 6, 2010 (28 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
- Wirehousederived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address