DFX Intelligence
RIA Intelligence
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Registered advisor
R••••• C•••••
Certified Financial Planner
Feed of 09/15/2026
Also filed as R•••••O C•••••
At current firm
3 y
since Feb 1, 2023
In the industry
34 y
since Jan 3, 1992 (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
S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Feb 1, 2023 · Goshen, Ny
- S••••••••• A•••••• A•••••••• I••• formerOct 20, 2017 to Feb 3, 2023 · Goshen, Ny
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerJan 26, 2009 to Oct 26, 2017 · Warwick, Ny
Moves
a registration end followed by a registration begin elsewhere
- S••••••••• A•••••• A•••••••• I••• to L•• F•••••••• L••left Feb 3, 2023, registered Feb 1, 2023 (-2 days) · corporate re-registration, not a move
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to S••••••••• A•••••• A•••••••• I•••left Oct 26, 2017, registered Oct 20, 2017 (-6 days) · Other · moved with a team
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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address