DFX Intelligence
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Registered advisor
T••••• B••••
Feed of 09/15/2026
Also filed as T••••• B•••••• B••••••••• B•••••• B••••
At current firm
8 y
since Dec 14, 2017
In the industry
30 y
since Jul 19, 1996 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, 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
- C•••••• S••••• • C••• I••• national BD currentsince Dec 14, 2017 · Kunnletown, Pa
- P•••••• A•••••• G••••• L•• BD affiliatedDec 13, 2012 to Dec 12, 2017 · Stroudsburg, Pa
Moves
a registration end followed by a registration begin elsewhere
- P•••••• A•••••• G••••• L•• to C•••••• S••••• • C••• I•••left Dec 12, 2017, registered Dec 14, 2017 (2 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
- National broker-dealer RIAderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address