DFX Intelligence
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Registered advisor
R•••• M•••••••
Certified Financial Planner
Feed of 09/15/2026
Also filed as R•••• M••••••••• T•••• M•••••••
At current firm
1 y
since Jun 27, 2025
In the industry
12 y
since Jul 1, 2014 (earliest exam, job or registration)
Prior registered firms
2
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
2
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Jun 27, 2025 · Pasadena, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDApr 5, 2023 to May 12, 2025 · Charlotte, Nc
- U•• F•••••••• S••••••• I••• wirehouseOct 2, 2022 to Apr 12, 2023 · Charlotte, Nc
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left May 12, 2025, registered Jun 27, 2025 (46 days) · Affiliated broker-dealer or bank to another
- U•• F•••••••• S••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Apr 12, 2023, registered Apr 5, 2023 (-7 days) · Wirehouse to affiliated broker-dealer or bank
Signals
- ••• LockedMay 12, 2025 · Advisor changed firm · fact
- ••• LockedApr 12, 2023 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address