DFX Intelligence
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Registered advisor
R•••••• S••••••••
Chartered Financial Consultant
Feed of 09/14/2026
Also filed as R••• S••••••••
At current firm
3 y
since Sep 6, 2023
In the industry
28 y
since Feb 20, 1998 (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
- J••• M••••• S••••••••• L•• wirehouse currentsince Sep 6, 2023 · New York, Ny
- J••• M••••• P•••••• W••••• A••••••• L•• formerNov 20, 2017 to Mar 20, 2025 · New York, Ny
- U•• F•••••••• S••••••• I••• wirehouseMay 23, 2002 to Nov 27, 2017 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• P•••••• W••••• A••••••• L•• to J••• M••••• S••••••••• L••left Mar 20, 2025, registered Sep 6, 2023 (-561 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to J••• M••••• P•••••• W••••• A••••••• L••left Nov 27, 2017, registered Nov 20, 2017 (-7 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
- Wirehousederived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address