DFX Intelligence
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Registered advisor
A•••••• E••••• S•••••
Feed of 09/14/2026
Also filed as T••• S•••••
At current firm
7 y
since Aug 28, 2019
In the industry
41 y
since Sep 1, 1985 (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, 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
- L•• F•••••••• L•• BD affiliated currentsince Aug 28, 2019 · Latrobe, Pa
- T•• S••••• H••• C••••• I••• unclassifiedDec 8, 2010 to Oct 31, 2012 · Latrobe, Pa
- S•••••••• F••••••••• I••• formerJun 5, 2008 to Aug 30, 2019 · Latrobe, Pa
Moves
a registration end followed by a registration begin elsewhere
- S•••••••• F••••••••• I••• to T•• S••••• H••• C••••• I•••left Aug 30, 2019, registered Dec 8, 2010 (-3187 days) · Other
- T•• S••••• H••• C••••• I••• to L•• F•••••••• L••left Oct 31, 2012, registered Aug 28, 2019 (2492 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
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address