DFX Intelligence
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Registered advisor
M•••••• V••••••• E•••••
Feed of 09/14/2026
Also filed as M•••••• V••••••• D••••••
At current firm
6 y
since Feb 12, 2020
In the industry
27 y
since Jun 1, 1999 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Feb 12, 2020 · Moosic, Pa
- E•••• S••••••••• L•• BD affiliatedAug 9, 2019 to Jan 21, 2020 · Scranton, Pa
Moves
a registration end followed by a registration begin elsewhere
- E•••• S••••••••• L•• to M•• I•••••••• S•••••••• L••left Jan 21, 2020, registered Feb 12, 2020 (22 days) · Affiliated broker-dealer or bank to another · moved with a team
Signals
No dated event on this person.
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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address