DFX Intelligence
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Registered advisor
S••• A•••• S••••••
Feed of 09/15/2026
Also filed as S••• A•••• S••••••••• A• S••••••
At current firm
7 y
since Sep 19, 2019
In the industry
25 y
since Jun 25, 2001 (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
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
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Sep 19, 2019 · Bedford, Nh
- F••••••• F•••••••• G••••• L•• unclassifiedMar 4, 2014 to Sep 15, 2019 · Manchester, Nh
- L•• F•••••••• L•• BD affiliatedFeb 28, 2014 to Oct 8, 2019 · Manchester, Nh
- C•••••• S••••• • C••• I••• national BDFeb 8, 2002 to Feb 28, 2014 · Manchester, Nh
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Oct 8, 2019, registered Sep 19, 2019 (-19 days) · Affiliated broker-dealer or bank to another · moved with a team
- F••••••• F•••••••• G••••• L•• to A••••••••• F•••••••• S•••••••• L••left Sep 15, 2019, registered Sep 19, 2019 (4 days) · Other
- C•••••• S••••• • C••• I••• to L•• F•••••••• L••left Feb 28, 2014, registered Feb 28, 2014 (0 days) · Other
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
- National broker-dealer RIAderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address