DFX Intelligence
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Registered advisor
D••••• A• B•••
Feed of 09/14/2026
Also filed as D••••• A• B••••••••• B••••••••• A••• B•••
At current firm
5 y
since Aug 5, 2021
In the industry
29 y
since Jan 20, 1997 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
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
- L•• F•••••••• L•• BD affiliated currentsince Aug 5, 2021 · Brooklyn, Ny
- C•••••••• G••••• M•••••• I••• BD affiliatedAug 5, 2016 to Aug 4, 2021 · New York, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 30, 2010 to Aug 11, 2016 · Fort Lee, Nj
- T• A••••••••• I••••••••• M••••••••• L•• formerJun 9, 2009 to Oct 1, 2009 · New York, Ny
- T• A••••••••• I••• formerJun 9, 2009 to Oct 1, 2009 · New York, Ny
- E•••••• C•••••• M••••••••• L•• formerOct 15, 2008 to Jan 5, 2009 · Arlington, Va
Moves
a registration end followed by a registration begin elsewhere
- C•••••••• G••••• M•••••• I••• to L•• F•••••••• L••left Aug 4, 2021, registered Aug 5, 2021 (1 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• G••••• M•••••• I•••left Aug 11, 2016, registered Aug 5, 2016 (-6 days) · Other · moved with a team
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 1, 2009, registered Jun 9, 2009 (-114 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Oct 1, 2009, registered Jun 9, 2009 (-114 days) · Other
- E•••••• C•••••• M••••••••• L•• to T• A••••••••• I••••••••• M••••••••• L••left Jan 5, 2009, registered Jun 9, 2009 (155 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address