DFX Intelligence
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Feed of 09/14/2026
Also filed as D••••• L• P••••••••• S•••••••• P••••
At current firm
4 y
since Sep 9, 2022
In the industry
29 y
since Oct 14, 1996 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- M••••• S•••••• wirehouse currentsince Sep 9, 2022 · Morristown, Nj
- U•• F•••••••• S••••••• I••• wirehouseMar 29, 2012 to Sep 20, 2022 · Short Hills, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 5, 2002 to Mar 30, 2012 · Short Hills, Nj
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to M••••• S••••••left Sep 20, 2022, registered Sep 9, 2022 (-11 days) · Wirehouse to wirehouse · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Mar 30, 2012, registered Mar 29, 2012 (-1 days) · Wirehouse to wirehouse
Signals
- ••• LockedSep 20, 2022 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address