DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
S•••• E••••• S••••••
Feed of 09/14/2026
At current firm
4 y
since Sep 2, 2022
In the industry
30 y
since May 1, 1996 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince Sep 2, 2022 · Palm Beach, Fl
- J••• M••••• S••••••••• L•• wirehouseOct 13, 2017 to Sep 3, 2022 · New York, Ny
- M••••• S•••••• wirehouseJun 11, 2010 to Oct 13, 2017 · New York, Ny
- U•• F•••••••• S••••••• I••• wirehouseJan 18, 2007 to Jun 18, 2010 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••left Sep 3, 2022, registered Sep 2, 2022 (-1 days) · Wirehouse to wirehouse · moved with a team
- M••••• S•••••• to J••• M••••• S••••••••• L••left Oct 13, 2017, registered Oct 13, 2017 (0 days) · Wirehouse to wirehouse · moved with a team
- U•• F•••••••• S••••••• I••• to M••••• S••••••left Jun 18, 2010, registered Jun 11, 2010 (-7 days) · Wirehouse to wirehouse
Signals
- ••• LockedSep 3, 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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address