DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
R••••• M•••••• C•••••
Chartered Financial Consultant
Feed of 09/14/2026
Also filed as R••••• M•••••• C•••••
At current firm
10 y
since Jun 3, 2016
In the industry
27 y
since Oct 16, 1998 (earliest exam, job or registration)
Prior registered firms
3
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
- W•••• F•••• A••••••• wirehouse currentsince Jun 3, 2016 · Newburgh, Ny
- L•• F•••••••• L•• BD affiliatedMay 15, 2012 to Jun 15, 2016 · Lockport, Ny
- H••• S••••••••• •••• I••• BD affiliatedJul 5, 2006 to May 15, 2012 · Poughkeepsie, Ny
- S••••••• I••••••••• I••• formerSep 10, 2001 to Sep 2, 2004 · Albany, Ny
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to W•••• F•••• A•••••••left Jun 15, 2016, registered Jun 3, 2016 (-12 days) · Other · moved with a team
- H••• S••••••••• •••• I••• to L•• F•••••••• L••left May 15, 2012, registered May 15, 2012 (0 days) · corporate re-registration, not a move
- S••••••• I••••••••• I••• to H••• S••••••••• •••• I•••left Sep 2, 2004, registered Jul 5, 2006 (671 days) · Other
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
- Wirehousederived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address