DFX Intelligence

RIA Intelligence

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Registered advisor

R••••• C•••• D•••••••

C•••••••• I••••••••• R••••••• A•••••••• I•••BD affiliatedPleasantville, Ny dual registrantIAPD 2141237

Feed of 09/14/2026

At current firm

0 y

since Dec 10, 2025

In the industry

25 y

since Dec 15, 2000 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated current
since Dec 10, 2025 · Pocono Pines, Pa
C••••••••• F•••••••• N•••••• national BD
Jun 22, 2021 to Dec 10, 2025 · Waltham, Ma
C•••••••• G••••• M•••••• I••• BD affiliated
May 29, 2007 to Apr 27, 2009 · Bedford Village, Ny
C••••••• I••••••••• S••••••• unclassified
Nov 9, 2004 to May 29, 2007 · Ossining, Ny

Moves

a registration end followed by a registration begin elsewhere

C••••••••• F•••••••• N•••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Dec 10, 2025, registered Dec 10, 2025 (0 days) · Affiliated broker-dealer or bank to another
C•••••••• G••••• M•••••• I••• to C••••••••• F•••••••• N••••••
left Apr 27, 2009, registered Jun 22, 2021 (4439 days) · Other
C••••••• I••••••••• S••••••• to C•••••••• G••••• M•••••• I•••
left May 29, 2007, registered May 29, 2007 (0 days) · corporate re-registration, not a move

Signals

R••••• C•••• D••••••• left C••••••••• F•••••••• N•••••• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2025-12-10)
Dec 10, 2025 · 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: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address