DFX Intelligence
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Registered advisor
R••••• N••• C•••••••••
Feed of 09/15/2026
At current firm
14 y
since Aug 31, 2012
In the industry
34 y
since Mar 28, 1992 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, 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
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Aug 31, 2012 · New Haven, Ct
- M••••• S•••••• wirehouseJun 1, 2009 to Sep 11, 2012 · New Haven, Ct
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 21, 2006 to Jun 1, 2009 · New Haven, Ct
- L••• M•••• W••• W•••••• I••••••••• unclassifiedJun 20, 2003 to Feb 21, 2006 · New Haven, Ct
- P••••••••• E••••• G••••• L•• unclassifiedFeb 3, 1999 to Jun 23, 2003 · Westport, Ct
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to A••••••••• F•••••••• S•••••••• L••left Sep 11, 2012, registered Aug 31, 2012 (-11 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- L••• M•••• W••• W•••••• I••••••••• to C•••••••• G••••• M•••••• I•••left Feb 21, 2006, registered Feb 21, 2006 (0 days) · corporate re-registration, not a move
- P••••••••• E••••• G••••• L•• to L••• M•••• W••• W•••••• I•••••••••left Jun 23, 2003, registered Jun 20, 2003 (-3 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address