DFX Intelligence
RIA Intelligence
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Registered advisor
R••••• E••••• F••••••
Feed of 09/15/2026
At current firm
11 y
since Feb 13, 2015
In the industry
32 y
since Dec 23, 1993 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
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
- S•••••• C•••••• A••••••• L•• BD affiliated currentsince Feb 13, 2015 · Pittsburg, Pa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 18, 2006 to Jan 26, 2015 · Pittsburgh, Pa
- A•••••• I••• unclassifiedApr 26, 2005 to Mar 8, 2006 · Pittsburgh, Pa
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••• C•••••• A••••••• L••left Jan 26, 2015, registered Feb 13, 2015 (18 days) · Other
- A•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 8, 2006, registered Jul 18, 2006 (132 days) · corporate re-registration, not a move
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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address