DFX Intelligence
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Registered advisor
R••••• F•••••• R•••
Feed of 09/14/2026
Also filed as B•• R•••
At current firm
14 y
since May 1, 2012
In the industry
39 y
since Nov 13, 1986 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
2
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
- C•••••• A••••••• BD affiliated currentsince Nov 3, 2014 · Worcester, Ma
- L•••••• I••••••••• independent RIA currentsince May 1, 2012 · Worcester, Ma
- L••••• A•••••••• L•• formerJul 21, 2004 to Apr 30, 2012 · Palm Beach Gardens, Fl
Moves
a registration end followed by a registration begin elsewhere
- L••••• A•••••••• L•• to L•••••• I•••••••••left Apr 30, 2012, registered May 1, 2012 (1 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
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address