DFX Intelligence
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Registered advisor
C••••••••• R••••
Feed of 09/14/2026
Also filed as C••••••••• A••••• R••••
At current firm
6 y
since Feb 13, 2020
In the industry
33 y
since Feb 16, 1993 (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
S66, 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
- L•• F•••••••• L•• BD affiliated currentsince Feb 13, 2020 · Holmdel, Nj
- O•••• W•••••• I••• BD affiliatedJun 30, 2015 to Feb 18, 2020 · Holmdel, Nj
- U•• F•••••••• S••••••• I••• wirehouseAug 2, 2010 to Jul 9, 2015 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- O•••• W•••••• I••• to L•• F•••••••• L••left Feb 18, 2020, registered Feb 13, 2020 (-5 days) · Affiliated broker-dealer or bank to another
- U•• F•••••••• S••••••• I••• to O•••• W•••••• I•••left Jul 9, 2015, registered Jun 30, 2015 (-9 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
- 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