DFX Intelligence
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Registered advisor
D•••• R•••••• R•••••
Feed of 09/14/2026
At current firm
8 y
since Jun 20, 2018
In the industry
39 y
since Oct 22, 1986 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
4
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
- J••• M••••• S••••••••• L•• wirehouse currentsince Jun 20, 2018 · Greenwich, Ct
- M••••• S•••••• wirehouseJun 1, 2009 to Jun 21, 2018 · Greenwich, Ct
- C•••••••• G••••• M•••••• I••• BD affiliatedApr 18, 2008 to Jun 1, 2009 · Westport, Ct
- U•• F•••••••• S••••••• I••• wirehouseJan 1, 1995 to Apr 29, 2008 · Stamford, Ct
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to J••• M••••• S••••••••• L••left Jun 21, 2018, registered Jun 20, 2018 (-1 days) · Wirehouse to wirehouse · moved with a team
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to C•••••••• G••••• M•••••• I•••left Apr 29, 2008, registered Apr 18, 2008 (-11 days) · Other
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address