DFX Intelligence
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Registered advisor
T••••• E•••• D••
Feed of 09/14/2026
Also filed as T•• D••
At current firm
20 y
since Nov 21, 2005
In the industry
38 y
since Jan 15, 1988 (earliest exam, job or registration)
Prior registered firms
1
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•• BD affiliated currentsince Nov 21, 2005 · Warwick, Ri
- A•••••• I••• unclassifiedOct 11, 2005 to Dec 12, 2005 · Providence, Ri
Moves
a registration end followed by a registration begin elsewhere
- A•••••• I••• to J••••• M••••••••• S•••• L••left Dec 12, 2005, registered Nov 21, 2005 (-21 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
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address