DFX Intelligence
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Registered advisor
D•••• D••• R••••
Feed of 09/15/2026
At current firm
17 y
since May 15, 2009
In the industry
22 y
since Apr 5, 2004 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
3
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
- R••••• W• B•••• • C•• I••••••••• mixed wealth currentsince May 15, 2009 · Easton, Md
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 19, 2008 to May 21, 2009 · Easton, Md
- L••• M•••• W••• W•••••• I••••••••• unclassifiedApr 5, 2004 to Jan 20, 2005 · Easton, Md
Moves
a registration end followed by a registration begin elsewhere
- C•••••••• G••••• M•••••• I••• to R••••• W• B•••• • C•• I•••••••••left May 21, 2009, registered May 15, 2009 (-6 days) · Other
- L••• M•••• W••• W•••••• I••••••••• to C•••••••• G••••• M•••••• I•••left Jan 20, 2005, registered May 19, 2008 (1215 days) · Other
Signals
No dated event on this person.
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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address