DFX Intelligence
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Registered advisor
N••••••• M•••••••
Feed of 09/15/2026
Also filed as N••••••• T••••• M••••••••• M••••••••• M••••••••• T• M•••••••
At current firm
1 y
since Mar 31, 2025
In the industry
11 y
since Mar 13, 2015 (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, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Fort Lauderdale, Fl
- F••••••• P••••••• A•• W•••••••• A••••••• formerNov 1, 2022 to Mar 31, 2025 · Ft. Lauderdale, Fl
- A••••••••• F•••••••• S•••••••• L•• national BDMar 14, 2022 to May 18, 2022 · Boca Raton, Fl
- C•••••• S••••• • C••• I••• national BDNov 24, 2017 to Oct 1, 2021 · Staten Island, Ny
- S•••••••• I••••••••• M••••••••• formerMar 20, 2017 to Oct 31, 2017 · Saint Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- A••••••••• F•••••••• S•••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left May 18, 2022, registered Nov 1, 2022 (167 days) · Affiliated broker-dealer or bank to another
- C•••••• S••••• • C••• I••• to A••••••••• F•••••••• S•••••••• L••left Oct 1, 2021, registered Mar 14, 2022 (164 days) · Affiliated broker-dealer or bank to another
- S•••••••• I••••••••• M••••••••• to C•••••• S••••• • C••• I•••left Oct 31, 2017, registered Nov 24, 2017 (24 days) · Other · moved with a team
Signals
- ••• LockedMay 18, 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
- National broker-dealer RIAderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address