DFX Intelligence
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Registered advisor
M•••••• D••••••
Feed of 09/15/2026
Also filed as M•••••• D••••••••• D••••••••• P••• D••••••
At current firm
1 y
since Mar 31, 2025
In the industry
11 y
since Nov 1, 2014 (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
S65, 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 · Rochester, Ny
- F••••••• P••••••• A•• W•••••••• A••••••• formerFeb 9, 2022 to Mar 31, 2025 · Rochester, Ny
- K•• I••••••••• S••••••• L•• BD affiliatedAug 17, 2021 to Jan 13, 2022 · Brooklyn, Oh
- U•• F•••••••• S••••••• I••• wirehouseDec 19, 2017 to Feb 1, 2021 · Rochester, Ny
- C••••••• S••••••••• I••• BD affiliatedJul 21, 2016 to Oct 3, 2017 · Victor, Ny
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
- K•• I••••••••• S••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jan 13, 2022, registered Feb 9, 2022 (27 days) · Affiliated broker-dealer or bank to another
- U•• F•••••••• S••••••• I••• to K•• I••••••••• S••••••• L••left Feb 1, 2021, registered Aug 17, 2021 (197 days) · Wirehouse to affiliated broker-dealer or bank
- C••••••• S••••••••• I••• to U•• F•••••••• S••••••• I•••left Oct 3, 2017, registered Dec 19, 2017 (77 days) · Other
Signals
- ••• LockedJan 13, 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