DFX Intelligence
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Feed of 09/14/2026
Also filed as G•••• D• V••••••••• D• V••••••
At current firm
6 y
since Dec 11, 2019
In the industry
18 y
since Mar 21, 2008 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
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
- F••••• I••••••••• independent RIA currentsince Dec 11, 2019 · Plano, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 6, 2015 to Feb 14, 2019 · Riverside, Ri
- M••••• S•••••• • C•• L•• unclassifiedJul 29, 2008 to Mar 5, 2009 · Providence, Ri
- W•••• F•••• A••••••• wirehouseMar 21, 2008 to Jun 3, 2008 · Providence, Ri
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F••••• I•••••••••left Feb 14, 2019, registered Dec 11, 2019 (300 days) · Wirehouse to independent RIA
- M••••• S•••••• • C•• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 5, 2009, registered Nov 6, 2015 (2437 days) · Other
- W•••• F•••• A••••••• to M••••• S•••••• • C•• L••left Jun 3, 2008, registered Jul 29, 2008 (56 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
- Independent wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address