DFX Intelligence
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Registered advisor
R•••••• C•••••• L•••••
Personal Financial Specialist
Feed of 09/14/2026
Also filed as R•••••• C•••••• L•••••
At current firm
0 y
since Aug 12, 2026
In the industry
32 y
since Apr 14, 1994 (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, 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 Aug 12, 2026 · Carver, Ma
- A••••••••• F•••••••• S•••••••• L•• national BDSep 19, 2016 to Jan 20, 2017 · Hingham, Ma
- A•••••• A••••••• S••••••• formerJan 26, 2015 to Sep 30, 2016 · Carver, Ma
- C••••••••• F•••••••• N•••••• national BDNov 12, 2003 to Dec 23, 2014 · Carver, Ma
- A•••••• A••••••• S••••••• formerApr 14, 1994 to Feb 18, 2004 · Carver, Ma
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• F•••••••• S•••••••• L•• to C••••• I••••••••• A••••••• L••left Jan 20, 2017, registered Aug 12, 2026 (3491 days) · Affiliated broker-dealer or bank to another
- A•••••• A••••••• S••••••• to A••••••••• F•••••••• S•••••••• L••left Sep 30, 2016, registered Sep 19, 2016 (-11 days) · Other
- C••••••••• F•••••••• N•••••• to A•••••• A••••••• S•••••••left Dec 23, 2014, registered Jan 26, 2015 (34 days) · Other
- A•••••• A••••••• S••••••• to C••••••••• F•••••••• N••••••left Feb 18, 2004, registered Nov 12, 2003 (-98 days) · Other
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address