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
R••••• C• B•••••
Feed of 09/15/2026
Also filed as R••••• C•••••• B•••••
At current firm
9 y
since Mar 15, 2017
In the industry
29 y
since Jan 3, 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, S66
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••••••••• F•••••••• S•••••••• L•• national BD currentsince Mar 15, 2017 · Lisle, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 25, 2015 to May 23, 2016 · Fairfax, Va
- P•• W••••• M••••••••• BD affiliatedApr 23, 2013 to Apr 28, 2014 · Vienna, Va
- M••••• O• O•••• I••••••• S•••••••• I••• independent RIAMar 10, 2011 to Dec 31, 2012 · Honolulu, Hi
- A••••••••• A•••••• S•••••••• I••• unclassifiedNov 11, 2003 to Mar 31, 2009 · Oak Lawn, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 8, 2003 to Aug 28, 2003 · Rockville, Md
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••••• F•••••••• S•••••••• L••left May 23, 2016, registered Mar 15, 2017 (296 days) · Wirehouse to affiliated broker-dealer or bank
- P•• W••••• M••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 28, 2014, registered Mar 25, 2015 (331 days) · Other
- M••••• O• O•••• I••••••• S•••••••• I••• to P•• W••••• M•••••••••left Dec 31, 2012, registered Apr 23, 2013 (113 days) · Other
- A••••••••• A•••••• S•••••••• I••• to M••••• O• O•••• I••••••• S•••••••• I•••left Mar 31, 2009, registered Mar 10, 2011 (709 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••••• A•••••• S•••••••• I•••left Aug 28, 2003, registered Nov 11, 2003 (75 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
- National broker-dealer RIAderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address