DFX Intelligence
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Registered advisor
R••••• S•••••• S•••••••
Feed of 09/14/2026
Also filed as R••••• S•••••• S••••••••• S•••••• S••••••••• S•••••• S••••••• I••••••••• S•••••• S••••••••• S•••••• S•••••••
At current firm
12 y
since Jun 19, 2014
In the industry
24 y
since Sep 4, 2002 (earliest exam, job or registration)
Prior registered firms
4
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
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Jun 19, 2014 · Baltimore, Md
- P••• A••••• S••••••••• L•• BD affiliatedOct 2, 2013 to Jun 19, 2014 · Lancaster, Pa
- B••••••• C•••••• I••• formerJun 2, 2009 to Feb 17, 2012 · Washington, Dc
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 21, 2006 to Jun 4, 2009 · New York, Ny
- L••• M•••• W••• W•••••• I••••••••• unclassifiedNov 18, 2004 to Feb 21, 2006 · Baltimore, Md
Moves
a registration end followed by a registration begin elsewhere
- P••• A••••• S••••••••• L•• to S•••••• N••••••• • C••••••• I•••••••••left Jun 19, 2014, registered Jun 19, 2014 (0 days) · Other
- B••••••• C•••••• I••• to P••• A••••• S••••••••• L••left Feb 17, 2012, registered Oct 2, 2013 (593 days) · Other
- C•••••••• G••••• M•••••• I••• to B••••••• C•••••• I•••left Jun 4, 2009, registered Jun 2, 2009 (-2 days) · Other
- L••• M•••• W••• W•••••• I••••••••• to C•••••••• G••••• M•••••• I•••left Feb 21, 2006, registered Feb 21, 2006 (0 days) · corporate re-registration, not a move
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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address