DFX Intelligence
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Registered advisor
E••••• W•••••• H•••••
Feed of 09/14/2026
At current firm
1 y
since Jan 24, 2025
In the industry
32 y
since Oct 5, 1993 (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
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- O•••• W•••••• I••• BD affiliated currentsince Jan 24, 2025 · North Haven, Ct
- O•••• F•• I••• formerMar 21, 2003 to Jan 24, 2025 · North Haven, Ct
- P•••••• A••••••• S••••••• I•• unclassifiedMar 21, 1995 to Mar 31, 2003 · North Haven, Ct
Moves
a registration end followed by a registration begin elsewhere
- O•••• F•• I••• to O•••• W•••••• I•••left Jan 24, 2025, registered Jan 24, 2025 (0 days) · corporate re-registration, not a move
- P•••••• A••••••• S••••••• I•• to O•••• F•• I•••left Mar 31, 2003, registered Mar 21, 2003 (-10 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address