DFX Intelligence
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R•••• A•••••• B••••••••
As of · the IAPD feed; also filed as C•••• B••••••••• A•••••• B••••••••
- At current firm
- 5 y
- In the industry
- 30 y
- Prior registered firms
- 2
- Signals
- 1
since Jun 22, 2021
As of · the IAPD feed; also filed as C•••• B••••••••• A•••••• B••••••••
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Registration history
IAPD current and previous registrations
- L••••• W••••• M••••••••• L•• no RAUM currentsince Jun 22, 2021 · Babylon, Ny
- L•• F•••••••• L•• BD affiliatedNov 4, 2019 to Jan 14, 2022 · Babylon, Ny
- L••••• W••••• M••••••••• L•• no RAUMMar 7, 2018 to Dec 31, 2019 · Babylon, Ny
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to L••••• W••••• M••••••••• L••left Jan 14, 2022, registered Jun 22, 2021 (-206 days) · Affiliated broker-dealer or bank to independent RIA
- L••••• W••••• M••••••••• L•• to L•• F•••••••• L••left Dec 31, 2019, registered Nov 4, 2019 (-57 days) · RIA to affiliated broker-dealer or bank
Signals
- ••• LockedJan 14, 2022 · Advisor changed firm · fact
Transition signals
No combined mobility score is published yet. The signals above are on record, each with its own history and base rate.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- No RAUM reportedderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address