DFX Intelligence
RIA Intelligence
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Registered advisor
C•••••• C•••
Certified Financial Planner
Feed of 09/14/2026
Also filed as C•••••• Y C•••
At current firm
7 y
since Oct 12, 2018
In the industry
29 y
since Feb 28, 1997 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- E•••••• F•••••••• E•••••• independent RIA currentsince Oct 12, 2018 · Uniondale, Ny
- E•••••• F•••••••• S•••••••• L•• formerMay 6, 2010 to Nov 1, 2018 · Fairfax, Va
- A••••• A•• P••••••• S••••••• BD affiliatedMar 5, 2008 to Mar 19, 2010 · New York, Ny
- S•••••••• A••••••• L•• national BDJul 20, 2005 to May 10, 2007 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- E•••••• F•••••••• S•••••••• L•• to E•••••• F•••••••• E••••••left Nov 1, 2018, registered Oct 12, 2018 (-20 days) · corporate re-registration, not a move
- A••••• A•• P••••••• S••••••• to E•••••• F•••••••• S•••••••• L••left Mar 19, 2010, registered May 6, 2010 (48 days) · Other
- S•••••••• A••••••• L•• to A••••• A•• P••••••• S•••••••left May 10, 2007, registered Mar 5, 2008 (300 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
- Independent wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address