DFX Intelligence
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Registered advisor
A••••• M••••••
Feed of 09/14/2026
Also filed as A••••• M••••• M••••••
At current firm
0 y
since Dec 23, 2025
In the industry
11 y
since Jan 1, 2015 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
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
- C•••••• S••••• • C••• I••• national BD currentsince Dec 23, 2025 · Lynnfield, Ma
- S•••••••• A••••••• L•• national BDMar 31, 2025 to Nov 7, 2025 · Nashua, Nh
- F••••••• P••••••• A•• W•••••••• A••••••• formerMar 10, 2020 to Mar 31, 2025 · Merrimack, Nh
- T• A••••••••• I••• formerFeb 1, 2018 to Sep 3, 2019 · Red Bank, Nj
- T• A••••••••• I••••••••• M••••••••• L•• formerJan 31, 2018 to Sep 3, 2019 · Shrewsbury, Nj
- S•••••••• A••••••• L•• national BDMar 16, 2016 to Jan 4, 2018 · Greenwood Village, Co
Moves
a registration end followed by a registration begin elsewhere
- S•••••••• A••••••• L•• to C•••••• S••••• • C••• I•••left Nov 7, 2025, registered Dec 23, 2025 (46 days) · Affiliated broker-dealer or bank to another · moved with a team
- 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
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Sep 3, 2019, registered Feb 1, 2018 (-579 days) · corporate re-registration, not a move
- T• A••••••••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left Sep 3, 2019, registered Mar 10, 2020 (189 days) · Other
- S•••••••• A••••••• L•• to T• A••••••••• I••••••••• M••••••••• L••left Jan 4, 2018, registered Jan 31, 2018 (27 days) · Affiliated broker-dealer or bank to independent RIA
Signals
- ••• LockedNov 7, 2025 · Advisor changed firm · fact
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
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