DFX Intelligence
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Registered advisor
W•••••• S•••••• S••••••
Feed of 09/14/2026
Also filed as B••• S••••••••• S• S••••••
At current firm
22 y
since Feb 20, 2004
In the industry
36 y
since Jun 8, 1990 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
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
- U•• F•••••••• S••••••• I••• wirehouse currentsince Feb 20, 2004 · Princeton, Nj
- A• G• E•••••• • S•••• I••• unclassifiedOct 14, 2003 to Mar 2, 2004 · Belle Mead, Nj
Moves
a registration end followed by a registration begin elsewhere
- A• G• E•••••• • S•••• I••• to U•• F•••••••• S••••••• I•••left Mar 2, 2004, registered Feb 20, 2004 (-11 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
- Wirehousederived
- Years in industry
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address