DFX Intelligence
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Registered advisor
C••••••••• S• M•••••••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as C••••••••• S• M••••••••• S••• M•••••••••
At current firm
1 y
since Nov 14, 2024
In the industry
11 y
since Feb 2, 2015 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- L•• E••••••••• L•• BD affiliated currentsince Nov 14, 2024 · Hunt Valley, Md
- P•••• S••••••••• L•• no RAUMMar 21, 2017 to Nov 14, 2024 · Hunt Valley, Md
- P••• A••••• S••••••••• L•• BD affiliatedJan 14, 2016 to Mar 27, 2017 · Hunt Valley, Md
Moves
a registration end followed by a registration begin elsewhere
- P•••• S••••••••• L•• to L•• E••••••••• L••left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
- P••• A••••• S••••••••• L•• to P•••• S••••••••• L••left Mar 27, 2017, registered Mar 21, 2017 (-6 days) · Other
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address