DFX Intelligence
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Registered advisor
A••• E•••• W•••••••
Feed of 09/15/2026
At current firm
16 y
since Jan 8, 2010
In the industry
33 y
since Jul 2, 1993 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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
- W•••• F•••• A••••••• wirehouse currentsince Jan 8, 2010 · Scranton, Pa
- J••••• M••••••••• S•••• L•• BD affiliatedJun 29, 2006 to Jan 14, 2010 · Hazleton, Pa
Moves
a registration end followed by a registration begin elsewhere
- J••••• M••••••••• S•••• L•• to W•••• F•••• A•••••••left Jan 14, 2010, registered Jan 8, 2010 (-6 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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address