DFX Intelligence
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Registered advisor
A•••••• P••••••••
Feed of 09/14/2026
At current firm
3 y
since Feb 27, 2023
In the industry
34 y
since Apr 10, 1992 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, 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
- O•••• I••••••••• I••• BD affiliated currentsince Feb 27, 2023 · Poughkeepsie, Ny
- L•• F•••••••• L•• BD affiliatedMar 1, 2022 to Mar 2, 2023 · Orangeburg, Ny
- C•••••••• G••••• M•••••• I••• BD affiliatedSep 9, 2021 to Mar 10, 2022 · Norwalk, Ct
- L•• F•••••••• L•• BD affiliatedApr 10, 2018 to Sep 22, 2021 · Middletown, Ny
- C••••••• S••••••••• I••• BD affiliatedDec 6, 2012 to Apr 2, 2018 · Kingston, Ny
- M•• S••••••••• I••• unclassifiedFeb 12, 2010 to Nov 27, 2012 · Fishkill, Ny
- H••• S••••••••• •••• I••• BD affiliatedDec 19, 2006 to Aug 12, 2009 · Pleasant Valley, Ny
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to O•••• I••••••••• I•••left Mar 2, 2023, registered Feb 27, 2023 (-3 days) · RIA to affiliated broker-dealer or bank · moved with a team
- C•••••••• G••••• M•••••• I••• to L•• F•••••••• L••left Mar 10, 2022, registered Mar 1, 2022 (-9 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to C•••••••• G••••• M•••••• I•••left Sep 22, 2021, registered Sep 9, 2021 (-13 days) · Affiliated broker-dealer or bank to another
- C••••••• S••••••••• I••• to L•• F•••••••• L••left Apr 2, 2018, registered Apr 10, 2018 (8 days) · Affiliated broker-dealer or bank to independent RIA
- M•• S••••••••• I••• to C••••••• S••••••••• I•••left Nov 27, 2012, registered Dec 6, 2012 (9 days) · Other
- H••• S••••••••• •••• I••• to M•• S••••••••• I•••left Aug 12, 2009, registered Feb 12, 2010 (184 days) · Other
Signals
- ••• LockedMar 2, 2023 · Advisor changed firm · fact
- ••• LockedMar 10, 2022 · 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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address