DFX Intelligence
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M•••••• J••••• R••••••
As of · the IAPD feed; also filed as M•••••• J••••• R••••••••• R••••••••• J••••• R••••••
- At current firm
- 1 y
- In the industry
- 15 y
- Prior registered firms
- 1
- Signals
- 1
since May 2, 2025
As of · the IAPD feed; also filed as M•••••• J••••• R••••••••• R••••••••• J••••• R••••••
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• national BD currentsince May 2, 2025 · Providence, Ri
- F••••••• P••••••• A•• W•••••••• A••••••• formerFeb 28, 2023 to Nov 19, 2024 · Smithfield, Ri
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to C•••••• S••••• • C••• I•••left Nov 19, 2024, registered May 2, 2025 (164 days) · Affiliated broker-dealer or bank to another
Signals
- ••• LockedNov 19, 2024 · Advisor changed firm · fact
Transition signals
No combined mobility score is published yet. The signals above are on record, each with its own history and base rate.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address