DFX Intelligence
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Registered advisor
D••• A•••••• R•••••
Feed of 09/15/2026
At current firm
6 y
since Aug 6, 2020
In the industry
43 y
since Jun 22, 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
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••• P••••••• I••••••••• A•••••••• L•• BD affiliated currentsince Aug 6, 2020 · Havertown, Pa
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedAug 5, 2020 to Aug 13, 2020 · Conhohocken, Pa
- W•••• F•••• A••••••• wirehouseOct 28, 2011 to Aug 7, 2020 · Conshohocken, Pa
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to S•••••• P••••••• I••••••••• A•••••••• L••left Aug 13, 2020, registered Aug 6, 2020 (-7 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- W•••• F•••• A••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Aug 7, 2020, registered Aug 5, 2020 (-2 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address