DFX Intelligence
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Registered advisor
M•••••• R••••• C•••••••••
Feed of 09/15/2026
Also filed as M••• C••••••••• R• C••••••••• R• C•••••••••
At current firm
2 y
since Feb 21, 2024
In the industry
22 y
since Apr 1, 2004 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• national BD currentsince Feb 21, 2024 · Mt Kisco, Ny
- M••••• S•••••• wirehouseSep 5, 2023 to Feb 15, 2024 · New York, Ny
- E•••••• C•••••• M••••••••• L•• formerAug 16, 2022 to Sep 5, 2023 · Arlington, Va
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to C•••••• S••••• • C••• I•••left Feb 15, 2024, registered Feb 21, 2024 (6 days) · Wirehouse to affiliated broker-dealer or bank
- E•••••• C•••••• M••••••••• L•• to M••••• S••••••left Sep 5, 2023, registered Sep 5, 2023 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedFeb 15, 2024 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address