DFX Intelligence
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Registered advisor
L••• A•• S•••••••
Feed of 09/14/2026
Also filed as L••• A•• W••••••••• W••••••••• A•• S••••••••• S•••••••
At current firm
0 y
since Jan 9, 2026
In the industry
32 y
since Dec 30, 1993 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S66, S63
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• national BD currentsince Jan 9, 2026 · Greenwich, Ct
- S•••••••• A••••••• L•• national BDMar 31, 2025 to Dec 19, 2025 · Westport, Ct
- F••••••• P••••••• A•• W•••••••• A••••••• formerSep 12, 2022 to Mar 31, 2025 · Fairfield, Ct
- E•••••••• A•••••••• L•• national BDApr 16, 2019 to Jul 15, 2022 · Westport, Ct
Moves
a registration end followed by a registration begin elsewhere
- S•••••••• A••••••• L•• to C•••••• S••••• • C••• I•••left Dec 19, 2025, registered Jan 9, 2026 (21 days) · Affiliated broker-dealer or bank to another · moved with a team
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- E•••••••• A•••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 15, 2022, registered Sep 12, 2022 (59 days) · Affiliated broker-dealer or bank to another
Signals
- ••• LockedDec 19, 2025 · Advisor changed firm · fact
- ••• LockedJul 15, 2022 · Advisor changed firm · fact
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address