DFX Intelligence
RIA Intelligence
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Feed of 09/14/2026
At current firm
0 y
since Dec 2, 2025
In the industry
48 y
since May 1, 1978 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
n/a
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- T•••••• F•••••••• P••••••• former currentsince Dec 2, 2025 · Ontario, Ca
- N•• A•••••• S•••••••• L•• formerJun 12, 2002 to Jul 15, 2005 · Ontario, Ca
Moves
a registration end followed by a registration begin elsewhere
- N•• A•••••• S•••••••• L•• to T•••••• F•••••••• P•••••••left Jul 15, 2005, registered Dec 2, 2025 (7445 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
- Former SEC-registered adviserderived
- Years in industry
- 48derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address