DFX Intelligence
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Registered advisor
R•••••• M•••••
Feed of 09/15/2026
Also filed as R•••••• K M•••••
At current firm
3 y
since Apr 12, 2023
In the industry
29 y
since Aug 1, 1997 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
3
dated events on this person
Registration history
IAPD current and previous registrations
- T••••••• I••••••••• M••••••••• I••• BD affiliated currentsince Apr 12, 2023 · Evansville, In
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 27, 2022 to Feb 1, 2023 · Austin, Tx
- E••••• J•••• national BDApr 11, 2022 to May 24, 2022 · Maryland Heights, Mo
- T••••••• I••••••••• M••••••••• I••• BD affiliatedJun 4, 2018 to Jan 14, 2022 · Irving, Tx
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T••••••• I••••••••• M••••••••• I•••left Feb 1, 2023, registered Apr 12, 2023 (70 days) · Wirehouse to affiliated broker-dealer or bank
- E••••• J•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 24, 2022, registered Jul 27, 2022 (64 days) · Affiliated broker-dealer or bank to wirehouse
- T••••••• I••••••••• M••••••••• I••• to E••••• J••••left Jan 14, 2022, registered Apr 11, 2022 (87 days) · Affiliated broker-dealer or bank to another
Signals
- R•••••• M••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for T••••••• I••••••••• M••••••••• I••• (registered 2023-04-12)Feb 1, 2023 · Advisor changed firm · fact
- R•••••• M••••• left E••••• J•••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2022-07-27)May 24, 2022 · Advisor changed firm · fact
- R•••••• M••••• left T••••••• I••••••••• M••••••••• I••• for E••••• J•••• (registered 2022-04-11)Jan 14, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address