DFX Intelligence
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Registered advisor
R••••• T••••• C••••••••
Feed of 09/14/2026
Also filed as R••••• C••••••••• T••••• C••••••••
At current firm
18 y
since Nov 9, 2007
In the industry
37 y
since Jan 26, 1989 (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 Nov 9, 2007 · Rocky Hill, Ct
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedFeb 13, 2007 to Oct 11, 2011 · Wethersfield, Ct
- W•••••• I••••••••• S•••••••• I••• unclassifiedSep 25, 2000 to Feb 13, 2007 · Kensington, Ct
Moves
a registration end followed by a registration begin elsewhere
- U•••• F•••••••• S••••••• G••••• I••• to L•• F•••••••• L••left Oct 11, 2011, registered Nov 9, 2007 (-1432 days) · corporate re-registration, not a move
- W•••••• I••••••••• S•••••••• I••• to U•••• F•••••••• S••••••• G••••• I•••left Feb 13, 2007, registered Feb 13, 2007 (0 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
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address