DFX Intelligence
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Registered advisor
M••• C•••••• M••••••
Feed of 09/14/2026
Also filed as M••• C• M••••••
At current firm
10 y
since Nov 16, 2015
In the industry
45 y
since Jan 28, 1981 (earliest exam, job or registration)
Prior registered firms
1
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
0
dated events on this person
Registration history
IAPD current and previous registrations
- R•••••• J•••• • A••••••••• I••• national BD currentsince Nov 16, 2015 · West Nyack, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 17, 1994 to Nov 17, 2015 · West Nyack, Ny
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•••••• J•••• • A••••••••• I•••left Nov 17, 2015, registered Nov 16, 2015 (-1 days) · Wirehouse to affiliated broker-dealer or bank · 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
- National broker-dealer RIAderived
- Years in industry
- 45derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address