DFX Intelligence
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Registered advisor
S•••••• W•••• T••••
Feed of 09/15/2026
Also filed as S•••• T••••
At current firm
3 y
since Apr 25, 2023
In the industry
33 y
since Oct 13, 1992 (earliest exam, job or registration)
Prior registered firms
8
IAPD previous registrations
State registrations
2
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
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Apr 25, 2023 · Boca Raton, Fl
- S••••• F•••••••• G•••• I•• formerOct 2, 2012 to May 20, 2021 · Boca Raton, Fl
- A••••••••• F•••••••• S•••••••• L•• national BDJul 13, 2011 to Aug 10, 2012 · Boca Raton, Fl
- P•• W••••• M••••••••• BD affiliatedNov 13, 2009 to Nov 16, 2009 · Tamarac, Fl
- N•••••• I••••••••• I••• unclassifiedNov 7, 2008 to Nov 13, 2009 · Boca Raton, Fl
- W••• I••••••••• I••• unclassifiedJun 8, 2007 to Nov 7, 2008 · Lakeland, Fl
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedFeb 25, 2005 to Jun 19, 2006 · Boca Raton, Fl
- I••• S••••••••• I••• unclassifiedJun 24, 2004 to Jan 20, 2005 · Tamarac, Fl
- C••••••• I••••••••• S••••••• unclassifiedFeb 12, 2003 to Jun 9, 2004 · Coconut Creek, Fl
Moves
a registration end followed by a registration begin elsewhere
- S••••• F•••••••• G•••• I•• to C••••• I••••••••• A••••••• L••left May 20, 2021, registered Apr 25, 2023 (705 days) · corporate re-registration, not a move
- A••••••••• F•••••••• S•••••••• L•• to S••••• F•••••••• G•••• I••left Aug 10, 2012, registered Oct 2, 2012 (53 days) · Other
- P•• W••••• M••••••••• to A••••••••• F•••••••• S•••••••• L••left Nov 16, 2009, registered Jul 13, 2011 (604 days) · Other
- N•••••• I••••••••• I••• to P•• W••••• M•••••••••left Nov 13, 2009, registered Nov 13, 2009 (0 days) · corporate re-registration, not a move
- W••• I••••••••• I••• to N•••••• I••••••••• I•••left Nov 7, 2008, registered Nov 7, 2008 (0 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to W••• I••••••••• I•••left Jun 19, 2006, registered Jun 8, 2007 (354 days) · Other
- I••• S••••••••• I••• to R•••••• J•••• F•••••••• S•••••••• I•••left Jan 20, 2005, registered Feb 25, 2005 (36 days) · Other
- C••••••• I••••••••• S••••••• to I••• S••••••••• I•••left Jun 9, 2004, registered Jun 24, 2004 (15 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address