DFX Intelligence
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Registered advisor
S••••• E••• C•••••
Feed of 09/14/2026
At current firm
20 y
since Sep 18, 2006
In the industry
31 y
since Feb 27, 1995 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
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
- W•••• F•••• A••••••• wirehouse currentsince Sep 18, 2006 · New York, Ny
- X•• A••••••• L•• unclassifiedSep 21, 2005 to Dec 31, 2005 · New York, Ny
- N•• A•••••• S•••••••• L•• formerAug 7, 2003 to Aug 26, 2003 · Hoboken, Nj
Moves
a registration end followed by a registration begin elsewhere
- X•• A••••••• L•• to W•••• F•••• A•••••••left Dec 31, 2005, registered Sep 18, 2006 (261 days) · Other
- N•• A•••••• S•••••••• L•• to X•• A••••••• L••left Aug 26, 2003, registered Sep 21, 2005 (757 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
- Wirehousederived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address