DFX Intelligence
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Registered advisor
S•••••• F••• L•••
Feed of 09/17/2026
At current firm
10 y
since Dec 4, 2015
In the industry
34 y
since Jun 25, 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
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Professional profileWhat is shown hereOnly business contact points the firm published under its own name are shown; nothing is inferred, and personal accounts are never read. What the bio page says is printed as the firm printed it, with the sentence it came from; years are the firm’s claim, not a count of registrations.
title, designations and roles as the firm prints them
- Title
- Director/Investmentsreportedstifel.comfirm site, Sep 24, 2026
Registration history
IAPD current and previous registrations
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Dec 4, 2015 · New York, Ny
- B••••••• C•••••• I••• formerJan 21, 2009 to Dec 4, 2015 · New York, Ny
- L••••• B••••••• I••• unclassifiedSep 8, 2003 to Oct 15, 2008 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- B••••••• C•••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Dec 4, 2015, registered Dec 4, 2015 (0 days) · corporate re-registration, not a move
- L••••• B••••••• I••• to B••••••• C•••••• I•••left Oct 15, 2008, registered Jan 21, 2009 (98 days) · corporate re-registration, not a move
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