DFX Intelligence
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Registered advisor
E••••••••• A•••
Certified Financial Planner
Feed of 09/14/2026
Also filed as E•••• A••••••••• A••••••••• A••••••••• E•••• A•••
At current firm
1 y
since Nov 14, 2024
In the industry
20 y
since Dec 5, 2005 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
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
- L•• E••••••••• L•• BD affiliated currentsince Nov 14, 2024 · Melville, Ny
- P•••• S••••••••• L•• no RAUMMay 28, 2020 to Nov 14, 2024 · New York, Ny
- B• R•••• W••••• A•••••••• I••• BD affiliatedMay 31, 2018 to Jul 9, 2018 · Melville, Ny
- F••••• I••••••••• independent RIAJun 15, 2016 to Jan 30, 2018 · Bay Shore, Ny
- H••• S••••••••• •••• I••• BD affiliatedOct 2, 2014 to Jun 3, 2016 · New York, Ny
- M•• F•••••••• S•••••••• I••• formerNov 6, 2008 to Sep 29, 2014 · Bayshore, Ny
- A••••• A•• P••••••• S••••••• BD affiliatedAug 2, 2007 to Sep 4, 2008 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- P•••• S••••••••• L•• to L•• E••••••••• L••left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
- B• R•••• W••••• A•••••••• I••• to P•••• S••••••••• L••left Jul 9, 2018, registered May 28, 2020 (689 days) · Affiliated broker-dealer or bank to another
- F••••• I••••••••• to B• R•••• W••••• A•••••••• I•••left Jan 30, 2018, registered May 31, 2018 (121 days) · Other
- H••• S••••••••• •••• I••• to F••••• I•••••••••left Jun 3, 2016, registered Jun 15, 2016 (12 days) · Other
- M•• F•••••••• S•••••••• I••• to H••• S••••••••• •••• I•••left Sep 29, 2014, registered Oct 2, 2014 (3 days) · Other
- A••••• A•• P••••••• S••••••• to M•• F•••••••• S•••••••• I•••left Sep 4, 2008, registered Nov 6, 2008 (63 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