DFX Intelligence
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Registered advisor
G••••••• A• G•••••••
Feed of 09/14/2026
At current firm
3 y
since Jun 7, 2023
In the industry
28 y
since Nov 25, 1997 (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
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Jun 7, 2023 · Peabody, Ma
- U•• F•••••••• S••••••• I••• wirehouseAug 29, 2011 to Jun 12, 2023 · Peabody, Ma
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJan 2, 2009 to Aug 30, 2011 · Wakefield, Ma
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedOct 23, 2007 to Jan 2, 2009 · Wakefield, Ma
- M••••• S•••••• • C•• L•• unclassifiedApr 9, 2007 to May 7, 2007 · Middleton, Ma
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jun 12, 2023, registered Jun 7, 2023 (-5 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to U•• F•••••••• S••••••• I•••left Aug 30, 2011, registered Aug 29, 2011 (-1 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jan 2, 2009, registered Jan 2, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• • C•• L•• to R•••••• J•••• F•••••••• S•••••••• I•••left May 7, 2007, registered Oct 23, 2007 (169 days) · Other
Signals
- ••• LockedJun 12, 2023 · Advisor changed firm · fact
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address