DFX Intelligence
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Registered advisor
L••••••• B••• F••••••
Feed of 09/14/2026
At current firm
4 y
since Mar 28, 2022
In the industry
32 y
since Oct 15, 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
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- U•• F•••••••• S••••••• I••• wirehouse currentsince Mar 28, 2022 · New York, Ny
- M••••• S•••••• wirehouseFeb 1, 2016 to Mar 29, 2022 · New York, Ny
- U•• F•••••••• S••••••• I••• wirehouseJan 2, 2008 to Feb 1, 2016 · Weehawken, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 5, 2007 to Sep 4, 2007 · New York, Ny
- C•••••••• G••••• M•••••• I••• BD affiliatedDec 15, 2005 to Jun 11, 2007 · New York, Ny
- A••••••••• F•••••••• S•••••••• L•• national BDJul 31, 2002 to Sep 14, 2005 · Paramus, Nj
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to U•• F•••••••• S••••••• I•••left Mar 29, 2022, registered Mar 28, 2022 (-1 days) · Wirehouse to wirehouse · moved with a team
- U•• F•••••••• S••••••• I••• to M••••• S••••••left Feb 1, 2016, registered Feb 1, 2016 (0 days) · Wirehouse to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Sep 4, 2007, registered Jan 2, 2008 (120 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 11, 2007, registered Jul 5, 2007 (24 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to C•••••••• G••••• M•••••• I•••left Sep 14, 2005, registered Dec 15, 2005 (92 days) · Other
Signals
- ••• LockedMar 29, 2022 · Advisor changed firm · fact
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