DFX Intelligence
RIA Intelligence
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Registered advisor
B•••••• D••• S•••••••
Feed of 09/14/2026
At current firm
5 y
since Nov 19, 2020
In the industry
20 y
since Sep 19, 2006 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
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
- T• R••• P•••• A••••••• S•••••••• I••• BD affiliated currentsince Nov 19, 2020 · Owings Mills, Md
- L•• F•••••••• L•• BD affiliatedApr 13, 2020 to Nov 13, 2020 · Newark, De
- T• A••••••••• I••••••••• M••••••••• L•• formerMar 23, 2016 to Oct 15, 2019 · Lutherville, Md
- T• A••••••••• I••• formerMar 23, 2016 to Oct 15, 2019 · Towson, Md
- T• R••• P•••• A••••••• S•••••••• I••• BD affiliatedJun 7, 2007 to Mar 15, 2016 · Owings Mills, Md
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to T• R••• P•••• A••••••• S•••••••• I•••left Nov 13, 2020, registered Nov 19, 2020 (6 days) · Affiliated broker-dealer or bank to independent RIA
- T• A••••••••• I••••••••• M••••••••• L•• to L•• F•••••••• L••left Oct 15, 2019, registered Apr 13, 2020 (181 days) · RIA to affiliated broker-dealer or bank
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 15, 2019, registered Mar 23, 2016 (-1301 days) · channel change inside one enterprise, not a move
- T• R••• P•••• A••••••• S•••••••• I••• to T• A••••••••• I•••left Mar 15, 2016, registered Mar 23, 2016 (8 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address