DFX Intelligence
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Registered advisor
T•••••• D••••
Feed of 09/15/2026
Also filed as T•• D••••••••• D••••
At current firm
5 y
since Feb 19, 2021
In the industry
32 y
since Dec 3, 1993 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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
- J••• M••••• S••••••••• L•• wirehouse currentsince Feb 19, 2021 · Maywood, Nj
- W•••• F•••• A••••••• wirehouseNov 7, 2018 to Feb 26, 2021 · Paramus, Nj
- T• A••••••••• I••••••••• M••••••••• L•• formerMay 21, 2018 to Nov 7, 2018 · Jersey City, Nj
- T• A••••••••• I••• formerMay 17, 2018 to Nov 7, 2018 · Jersey City, Nj
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJan 3, 2007 to Mar 7, 2008 · New York, Ny
- M••••• S•••••• D• I••• unclassifiedAug 10, 2005 to May 26, 2006 · Purchase, Ny
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to J••• M••••• S••••••••• L••left Feb 26, 2021, registered Feb 19, 2021 (-7 days) · Wirehouse to wirehouse
- T• A••••••••• I••••••••• M••••••••• L•• to W•••• F•••• A•••••••left Nov 7, 2018, registered Nov 7, 2018 (0 days) · RIA to wirehouse
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Nov 7, 2018, registered May 21, 2018 (-170 days) · channel change inside one enterprise, not a move
- B••• O• A•••••• I••••••••• S•••••••• I••• to T• A••••••••• I•••left Mar 7, 2008, registered May 17, 2018 (3723 days) · Other
- M••••• S•••••• D• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left May 26, 2006, registered Jan 3, 2007 (222 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
- Wirehousederived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address