DFX Intelligence
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Registered advisor
P••• E•••••• L•••••••
Feed of 09/15/2026
At current firm
20 y
since Dec 1, 2005
In the industry
30 y
since Mar 1, 1996 (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, S65
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•• C•••••• M••••••• L•• national BD currentsince Dec 1, 2005 · Glastonbury, Ct
- A•••••• I••• unclassifiedMar 7, 2003 to Dec 20, 2005 · Glastonbury, Ct
- V••••••• I••••••••• A•••••••• I••• unclassifiedMar 19, 1999 to Apr 1, 2003 · Glastonbury, Ct
Moves
a registration end followed by a registration begin elsewhere
- A•••••• I••• to R•• C•••••• M••••••• L••left Dec 20, 2005, registered Dec 1, 2005 (-19 days) · Other
- V••••••• I••••••••• A•••••••• I••• to A•••••• I•••left Apr 1, 2003, registered Mar 7, 2003 (-25 days) · Other
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
- National broker-dealer RIAderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address