DFX Intelligence
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Registered advisor
C•••••• R• M•••••••••
Feed of 09/14/2026
Also filed as C•••••• R••••• H••••••••• R••••• M•••••••••
At current firm
5 y
since May 17, 2021
In the industry
14 y
since Jul 19, 2012 (earliest exam, job or registration)
Prior registered firms
4
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
- J••• M••••• S••••••••• L•• wirehouse currentsince May 17, 2021 · Philadelphia, Pa
- T• A••••••••• I••• formerFeb 27, 2018 to Jan 11, 2021 · Marlton, Nj
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 26, 2018 to Dec 31, 2020 · Omaha, Ne
- S•••••••• I••••••••• M••••••••• formerApr 28, 2016 to Feb 26, 2018 · Saint Louis, Mo
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 23, 2012 to Jan 7, 2014 · Indian Wells, Ca
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••• to J••• M••••• S••••••••• L••left Jan 11, 2021, registered May 17, 2021 (126 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Dec 31, 2020, registered Feb 27, 2018 (-1038 days) · corporate re-registration, not a move
- S•••••••• I••••••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 26, 2018, registered Feb 26, 2018 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••••• I••••••••• M•••••••••left Jan 7, 2014, registered Apr 28, 2016 (842 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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address