DFX Intelligence
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Registered advisor
R•••••• M••••••• F•••••• L•••••••
Feed of 09/14/2026
Also filed as R•••••• F••••••••• M••••••• L•••••••
At current firm
4 y
since Mar 7, 2022
In the industry
11 y
since Mar 28, 2015 (earliest exam, job or registration)
Prior registered firms
2
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Mar 7, 2022 · Mendon, Ma
- N••••••••• M••••• I••••••••• S••••••••• no RAUMJun 16, 2021 to Mar 7, 2022 · Westminster, Ma
- L•• F•••••••• L•• BD affiliatedJun 24, 2015 to May 27, 2021 · Hudson, Ma
Moves
a registration end followed by a registration begin elsewhere
- N••••••••• M••••• I••••••••• S••••••••• to L•• F•••••••• L••left Mar 7, 2022, registered Mar 7, 2022 (0 days) · Other
- L•• F•••••••• L•• to N••••••••• M••••• I••••••••• S•••••••••left May 27, 2021, registered Jun 16, 2021 (20 days) · Other
Signals
- ••• LockedMar 7, 2022 · 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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address