DFX Intelligence
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Registered advisor
S••••• B• S••••••
Feed of 09/15/2026
At current firm
4 y
since Nov 8, 2021
In the industry
38 y
since Aug 19, 1988 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
4
current, as an IAR
Firms today
2
current registrations
Exams
S66, 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
- S•••••• S•••• L•••••• state registered currentsince Feb 17, 2026 · Tarrytown, Ny
- O•••• W•••••• I••• BD affiliated currentsince Nov 8, 2021 · Pittsburgh, Pa
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerJul 15, 2002 to Mar 2, 2006 · Tarrytown, Ny
Moves
a registration end followed by a registration begin elsewhere
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to O•••• W•••••• I•••left Mar 2, 2006, registered Nov 8, 2021 (5730 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
- STATE REGISTEREDderived
- Years in industry
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address