DFX Intelligence
RIA Intelligence
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Registered advisor
L••• T••••• C••••••
Feed of 09/15/2026
At current firm
18 y
since Jan 1, 2008
In the industry
34 y
since Feb 11, 1992 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, 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
- W•••• F•••• A••••••• wirehouse currentsince Jan 1, 2008 · Manchester, Nh
- A• G• E•••••• • S•••• I••• unclassifiedJan 12, 2007 to Jan 1, 2008 · Nashua, Nh
- U•• F•••••••• S••••••• I••• wirehouseApr 12, 2000 to Jan 30, 2007 · Manchester, Nh
Moves
a registration end followed by a registration begin elsewhere
- A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to A• G• E•••••• • S•••• I•••left Jan 30, 2007, registered Jan 12, 2007 (-18 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
- Wirehousederived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address