DFX Intelligence
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Registered advisor
S•••••••• V••••• S••••••
Feed of 09/14/2026
At current firm
3 y
since Mar 24, 2023
In the industry
43 y
since Feb 15, 1983 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Mar 24, 2023 · Red Bank, Nj
- W•••• F•••• A••••••• wirehouseSep 23, 2016 to Mar 27, 2023 · Red Bank, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 16, 2004 to Sep 29, 2016 · Red Bank, Nj
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••left Mar 27, 2023, registered Mar 24, 2023 (-3 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Sep 29, 2016, registered Sep 23, 2016 (-6 days) · Wirehouse to wirehouse · moved with a team
Signals
- ••• LockedMar 27, 2023 · Advisor changed firm · fact
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address