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
M•••• A• S•••
Feed of 09/15/2026
Also filed as M•••• A• S••••••••• A• S••• S••••••••• S••••••••• A•••••• S•••
At current firm
2 y
since Apr 8, 2024
In the industry
15 y
since Mar 15, 2011 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- J••• M••••• S••••••••• L•• wirehouse currentsince Apr 8, 2024 · Ijamsville, Md
- W•••• F•••• A••••••• wirehouseJun 6, 2018 to Apr 25, 2024 · Eldersburg, Md
- P•• W••••• M••••••••• BD affiliatedNov 28, 2012 to May 15, 2018 · Frederick, Md
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 8, 2012 to Nov 8, 2012 · Leesburg, Va
- T• R••• P•••• A••••••• S•••••••• I••• BD affiliatedMar 16, 2011 to Apr 25, 2012 · Owings Mills, Md
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to J••• M••••• S••••••••• L••left Apr 25, 2024, registered Apr 8, 2024 (-17 days) · Wirehouse to wirehouse
- P•• W••••• M••••••••• to W•••• F•••• A•••••••left May 15, 2018, registered Jun 6, 2018 (22 days) · Affiliated broker-dealer or bank to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P•• W••••• M•••••••••left Nov 8, 2012, registered Nov 28, 2012 (20 days) · Other
- T• R••• P•••• A••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 25, 2012, registered May 8, 2012 (13 days) · Other
Signals
- ••• LockedApr 25, 2024 · 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
- Wirehousederived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address