DFX Intelligence
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Registered advisor
A•• A••••• R••••
Feed of 09/15/2026
Also filed as A•• A••••••••• A••••• C••••••• A••• A••••••••• A••••• C••••••• A••• A•••••
At current firm
2 y
since Oct 30, 2023
In the industry
34 y
since Sep 15, 1992 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- P•••••••• S••••••••• I••• BD affiliated currentsince Oct 30, 2023 · Canandaigua, Ny
- L•• F•••••••• L•• BD affiliatedJun 15, 2022 to Sep 27, 2023 · Fort Mill, Sc
- K•• I••••••••• S••••••• L•• BD affiliatedSep 21, 2016 to Dec 7, 2021 · Endicott, Ny
- L•• F•••••••• L•• BD affiliatedMay 15, 2012 to Sep 21, 2016 · Rochester, Ny
- H••• S••••••••• •••• I••• BD affiliatedFeb 8, 2010 to May 15, 2012 · Rochester, Ny
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 24, 2008 · Rochester, Ny
- M••••• S•••••• D• I••• unclassifiedOct 18, 2006 to Apr 2, 2007 · Rochester, Ny
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to P•••••••• S••••••••• I•••left Sep 27, 2023, registered Oct 30, 2023 (33 days) · Affiliated broker-dealer or bank to another
- K•• I••••••••• S••••••• L•• to L•• F•••••••• L••left Dec 7, 2021, registered Jun 15, 2022 (190 days) · Affiliated broker-dealer or bank to independent RIA
- L•• F•••••••• L•• to K•• I••••••••• S••••••• L••left Sep 21, 2016, registered Sep 21, 2016 (0 days) · Other · moved with a team
- H••• S••••••••• •••• I••• to L•• F•••••••• L••left May 15, 2012, registered May 15, 2012 (0 days) · corporate re-registration, not a move
- M••••• S•••••• • C•• L•• to H••• S••••••••• •••• I•••left Jun 24, 2008, registered Feb 8, 2010 (594 days) · Other
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedSep 27, 2023 · Advisor changed firm · fact
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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address