DFX Intelligence
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Registered advisor
D••••• L••••••• C•••••••••
Feed of 09/14/2026
At current firm
19 y
since Jun 5, 2007
In the industry
27 y
since Jan 21, 1999 (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
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
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Jun 5, 2007 · Hamden, Ct
- R••• B••• • C•• unclassifiedFeb 1, 2007 to Jun 5, 2007 · Hamden, Ct
- R•• C•••••• M••••••• L•• national BDJan 24, 2003 to Feb 16, 2007 · New Haven, Ct
Moves
a registration end followed by a registration begin elsewhere
- R••• B••• • C•• to S•••••• N••••••• • C••••••• I•••••••••left Jun 5, 2007, registered Jun 5, 2007 (0 days) · Other
- R•• C•••••• M••••••• L•• to R••• B••• • C••left Feb 16, 2007, registered Feb 1, 2007 (-15 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address