DFX Intelligence
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Registered advisor
D•••• M•••••• S•••••••
Feed of 09/15/2026
Also filed as D••• S••••••••• S••••••••• S•••••••
At current firm
12 y
since May 16, 2014
In the industry
30 y
since Jul 2, 1996 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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
- A••••• A•• P••••••• S••••••• BD affiliated currentsince May 16, 2014 · Portsmouth, Nh
- F••••••• P••••••• T•••• C••••••• F•• unclassifiedApr 27, 2005 to Mar 28, 2007 · Merrimack, Nh
- S•••••••• A••••••• L•• national BDMar 18, 2003 to Nov 18, 2008 · Boston, Ma
Moves
a registration end followed by a registration begin elsewhere
- S•••••••• A••••••• L•• to A••••• A•• P••••••• S•••••••left Nov 18, 2008, registered May 16, 2014 (2005 days) · Other
- F••••••• P••••••• T•••• C••••••• F•• to A••••• A•• P••••••• S•••••••left Mar 28, 2007, registered May 16, 2014 (2606 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address