DFX Intelligence
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Registered advisor
E••• I••• N•••••
Feed of 09/15/2026
At current firm
1 y
since Jan 28, 2025
In the industry
29 y
since Mar 24, 1997 (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
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
- H•••••••• A•••••••• L•• BD affiliated currentsince Jan 28, 2025 · Chicago, Il
- U•• F•••••••• S••••••• I••• wirehouseJun 11, 2008 to Sep 27, 2011 · New York, Ny
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 12, 2008 · New York, Ny
- M••••• S•••••• D• I••• unclassifiedSep 22, 2006 to Apr 2, 2007 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to H•••••••• A•••••••• L••left Sep 27, 2011, registered Jan 28, 2025 (4872 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• • C•• L•• to U•• F•••••••• S••••••• I•••left Jun 12, 2008, registered Jun 11, 2008 (-1 days) · Other
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address