DFX Intelligence
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Registered advisor
M•••• M•••••••
Feed of 09/14/2026
At current firm
4 y
since Mar 15, 2022
In the industry
32 y
since Mar 1, 1994 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
8
current, as an IAR
Firms today
1
current registrations
Exams
S65, 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
- P••• A••••• S••••••••• L•• BD affiliated currentsince Mar 15, 2022 · Pittsford, Ny
- M•• I•••••••• S•••••••• L•• BD affiliatedJul 7, 2021 to Mar 7, 2022 · Rochester, Ny
Moves
a registration end followed by a registration begin elsewhere
- M•• I•••••••• S•••••••• L•• to P••• A••••• S••••••••• L••left Mar 7, 2022, registered Mar 15, 2022 (8 days) · Affiliated broker-dealer or bank to another
Signals
- ••• LockedMar 7, 2022 · 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address