DFX Intelligence
RIA Intelligence
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Registered advisor
C•••••• T•••• F•••
Feed of 09/14/2026
At current firm
5 y
since Jun 20, 2021
In the industry
27 y
since Mar 22, 1999 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
2
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
- R••••••••• C•••••• M••••••••• BD affiliated currentsince Sep 19, 2025 · Ny, Ny
- R••••••••• C•••••• M••••••••• BD affiliated currentsince Jun 20, 2021 · New York, Ny
- M••••• S•••••• wirehouseJun 1, 2009 to Dec 31, 2010 · New York, Ny
- M••••• S•••••• • C•• L•• unclassifiedAug 22, 2008 to Jun 1, 2009 · New York, Ny
- U•• F•••••••• S••••••• I••• wirehouseJan 14, 2005 to Sep 8, 2008 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to R••••••••• C•••••• M•••••••••left Dec 31, 2010, registered Jun 20, 2021 (3824 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to M••••• S•••••• • C•• L••left Sep 8, 2008, registered Aug 22, 2008 (-17 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address