DFX Intelligence
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Registered advisor
E••• M•••••••
Feed of 09/15/2026
Also filed as E••• M••••••••• N••••• M••••••••
At current firm
1 y
since Mar 31, 2025
In the industry
11 y
since Sep 1, 2015 (earliest exam, job or registration)
Prior registered firms
3
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
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Commack, Ny
- F••••••• P••••••• A•• W•••••••• A••••••• formerApr 4, 2023 to Mar 31, 2025 · Lake Grove, Ny
- M••••• S•••••• wirehouseMar 5, 2021 to Feb 24, 2023 · Jericho, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 23, 2019 to Mar 8, 2021 · Melville, 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
- M••••• S•••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Feb 24, 2023, registered Apr 4, 2023 (39 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Mar 8, 2021, registered Mar 5, 2021 (-3 days) · Wirehouse to wirehouse · moved with a team
Signals
- ••• LockedFeb 24, 2023 · Advisor changed firm · fact
Transition signals
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