DFX Intelligence
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Registered advisor
S••• W•••••• H•••••
Certified Financial Planner
Feed of 09/14/2026
At current firm
2 y
since Sep 3, 2024
In the industry
28 y
since Jan 12, 1998 (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, S65, S63
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- C••••••• P••••••• independent RIA currentsince Sep 3, 2024 · New York, Ny
- L•• F•••••••• L•• BD affiliatedOct 8, 2023 to Sep 3, 2024 · Freeport, Ny
- C•••••• S••••• • C••• I••• national BDJan 26, 2022 to Aug 21, 2023 · New York, Ny
- T• A••••••••• I••••••••• M••••••••• L•• formerJul 16, 2012 to Aug 19, 2023 · New York, Ny
- T• A••••••••• I••• formerJul 16, 2012 to Oct 14, 2022 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to C••••••• P•••••••left Sep 3, 2024, registered Sep 3, 2024 (0 days) · Affiliated broker-dealer or bank to independent RIA
- C•••••• S••••• • C••• I••• to L•• F•••••••• L••left Aug 21, 2023, registered Oct 8, 2023 (48 days) · Affiliated broker-dealer or bank to another
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Aug 19, 2023, registered Jan 26, 2022 (-570 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 14, 2022, registered Jul 16, 2012 (-3742 days) · corporate re-registration, not a move
Signals
- ••• LockedSep 3, 2024 · Advisor changed firm · fact
- ••• LockedAug 21, 2023 · Advisor changed firm · fact
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
- Independent wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address