DFX Intelligence
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Registered advisor
R••••••• W••••• W•••••
Feed of 09/14/2026
Also filed as R••••••• W••••• W••••••••• W••••••••• W••••• W•••••
At current firm
8 y
since Nov 22, 2017
In the industry
38 y
since Jul 27, 1988 (earliest exam, job or registration)
Prior registered firms
4
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 22, 2017 · Bryn Mawr, Pa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 1, 2008 to Dec 19, 2017 · Wayne, Pa
- P•• W••••• M••••••••• BD affiliatedSep 17, 2007 to Feb 7, 2008 · Pittsburgh, Pa
- M••••••••• B•••••••• S•••••••• I••• unclassifiedNov 12, 2004 to Sep 17, 2007 · Radnor, Pa
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedJun 26, 2002 to Nov 15, 2004 · Wayne, Pa
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••••• M••••••••• S•••• L••left Dec 19, 2017, registered Nov 22, 2017 (-27 days) · Other · moved with a team
- P•• W••••• M••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 7, 2008, registered Feb 1, 2008 (-6 days) · Other
- M••••••••• B•••••••• S•••••••• I••• to P•• W••••• M•••••••••left Sep 17, 2007, registered Sep 17, 2007 (0 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to M••••••••• B•••••••• S•••••••• I•••left Nov 15, 2004, registered Nov 12, 2004 (-3 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