DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Feed of 09/14/2026
At current firm
11 y
since Jun 18, 2015
In the industry
32 y
since Jun 2, 1994 (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, 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
- E•••• S••••••••• L•• BD affiliated currentsince Jun 18, 2015 · New York, Ny
- M•• F•••••••• S•••••••• I••• formerOct 27, 2009 to Jan 22, 2014 · New York, Ny
- E•••••••• A•••••••• L•• national BDJun 2, 2009 to Oct 1, 2009 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- M•• F•••••••• S•••••••• I••• to E•••• S••••••••• L••left Jan 22, 2014, registered Jun 18, 2015 (512 days) · Other
- E•••••••• A•••••••• L•• to M•• F•••••••• S•••••••• I•••left Oct 1, 2009, registered Oct 27, 2009 (26 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