DFX Intelligence
RIA Intelligence
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Registered advisor
C•••••• V•••••• S•••••••••
Certified Financial Planner
Feed of 09/15/2026
At current firm
8 y
since Aug 10, 2018
In the industry
24 y
since Sep 6, 2002 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
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•••••• P••••••• I••••••••• A•••••••• L•• BD affiliated currentsince Aug 10, 2018 · Stamford, Ct
- W•••• F•••• A••••••• wirehouseJan 1, 2008 to Aug 13, 2018 · Morristown, Nj
- A• G• E•••••• • S•••• I••• unclassifiedSep 17, 2003 to Jan 1, 2008 · Morristown, Nj
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to S•••••• P••••••• I••••••••• A•••••••• L••left Aug 13, 2018, registered Aug 10, 2018 (-3 days) · Wirehouse to independent RIA · moved with a team
- A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address