DFX Intelligence
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Registered advisor
N••••••• M•••••• P•••••
Feed of 09/15/2026
At current firm
5 y
since Feb 3, 2021
In the industry
13 y
since Jun 1, 2013 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
2
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
- R••••••••• C•••••• M••••••••• BD affiliated currentsince Jul 12, 2022 · Albany, Ny
- R••••••••• C•••••• M••••••••• BD affiliated currentsince Feb 3, 2021 · Albany, Ny
- G•••••• S•••• W••••• S•••••••• L••• BD affiliatedJan 25, 2017 to Feb 15, 2019 · Saratoga Springs, Ny
Moves
a registration end followed by a registration begin elsewhere
- G•••••• S•••• W••••• S•••••••• L••• to R••••••••• C•••••• M•••••••••left Feb 15, 2019, registered Feb 3, 2021 (719 days) · Affiliated broker-dealer or bank to another
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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address