DFX Intelligence
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Registered advisor
T•••••• M•••••••
Feed of 09/14/2026
At current firm
10 y
since Jan 22, 2016
In the industry
15 y
since Aug 11, 2011 (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
0
dated events on this person
Registration history
IAPD current and previous registrations
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Jan 22, 2016 · Scranton, Pa
- I••••• F•••••••• C••••••••• formerNov 3, 2014 to Jan 11, 2016 · Scraton, Pa
- W•••• F•••• A••••••• wirehouseAug 12, 2011 to Nov 3, 2014 · Scranton, Pa
Moves
a registration end followed by a registration begin elsewhere
- I••••• F•••••••• C••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 11, 2016, registered Jan 22, 2016 (11 days) · Other
- W•••• F•••• A••••••• to I••••• F•••••••• C•••••••••left Nov 3, 2014, registered Nov 3, 2014 (0 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address