DFX Intelligence
RIA Intelligence
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Registered advisor
D••••• P•••••• K••••••
Feed of 09/15/2026
At current firm
19 y
since Jan 9, 2007
In the industry
42 y
since Jul 24, 1984 (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
0
dated events on this person
Registration history
IAPD current and previous registrations
- R•• C•••••• M••••••• L•• national BD currentsince Jan 9, 2007 · Providence, Ri
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 21, 2006 to Jan 18, 2007 · Providence, Ri
- L••• M•••• W••• W•••••• I••••••••• unclassifiedJul 28, 2004 to Feb 21, 2006 · Providence, Ri
Moves
a registration end followed by a registration begin elsewhere
- C•••••••• G••••• M•••••• I••• to R•• C•••••• M••••••• L••left Jan 18, 2007, registered Jan 9, 2007 (-9 days) · Other
- L••• M•••• W••• W•••••• I••••••••• to C•••••••• G••••• M•••••• I•••left Feb 21, 2006, registered Feb 21, 2006 (0 days) · corporate re-registration, not a move
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
- National broker-dealer RIAderived
- Years in industry
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address