DFX Intelligence
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Registered advisor
R•••• P••••••• L•••••••••
Feed of 09/14/2026
Also filed as R•••• P••••••• L••••••••• P• L••••••••• L•••••••••
At current firm
0 y
since Nov 17, 2025
In the industry
32 y
since Sep 19, 1994 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
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 Nov 17, 2025 · Orchard Park, Ny
- O•••• W•••••• I••• BD affiliatedJun 14, 2024 to Nov 20, 2025 · Pittsford, Ny
- S••••••••• A•••••• A•••••••• I••• formerMar 20, 2021 to Jun 14, 2024 · Buffalo, Ny
- C••••••• S••••••••• I••• BD affiliatedAug 9, 2017 to Mar 22, 2021 · Williamsville, Ny
Moves
a registration end followed by a registration begin elsewhere
- O•••• W•••••• I••• to A••••••••• F•••••••• S•••••••• L••left Nov 20, 2025, registered Nov 17, 2025 (-3 days) · Affiliated broker-dealer or bank to another · moved with a team
- S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
- C••••••• S••••••••• I••• to S••••••••• A•••••• A•••••••• I•••left Mar 22, 2021, registered Mar 20, 2021 (-2 days) · Affiliated broker-dealer or bank to another
Signals
- ••• LockedNov 20, 2025 · Advisor changed firm · fact
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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address