DFX Intelligence
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Registered advisor
M•••••• C• M•••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as M•••••• C•••••••• M••••••••• C• M••••••••• M•••••
At current firm
1 y
since Oct 29, 2024
In the industry
10 y
since Sep 1, 2016 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, 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
- W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated currentsince Oct 29, 2024 · Plymouth, Mn
- J••• M••••• S••••••••• L•• wirehouseAug 22, 2023 to Oct 29, 2024 · Milwaukee, Wi
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Aug 1, 2023 · Boston, Ma
- S•••••••• A••••••• L•• national BDOct 6, 2017 to Jul 13, 2018 · Greenwood Village, Co
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• S••••••••• L•• to W••••• E••••••••• A••••••• S•••••••• L••left Oct 29, 2024, registered Oct 29, 2024 (0 days) · Wirehouse to affiliated broker-dealer or bank
- F••••••• P••••••• A•• W•••••••• A••••••• to J••• M••••• S••••••••• L••left Aug 1, 2023, registered Aug 22, 2023 (21 days) · Affiliated broker-dealer or bank to wirehouse
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedOct 29, 2024 · Advisor changed firm · fact
- ••• LockedAug 1, 2023 · Advisor changed firm · fact
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address