DFX Intelligence
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Registered advisor
R•••• D• A••••••••
Feed of 09/15/2026
Also filed as R•••• D•••••• A••••••••• A••••••••
At current firm
4 y
since Jul 26, 2022
In the industry
26 y
since Feb 19, 2000 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
4
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
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Jul 26, 2022 · Florham Park, Nj
- W•••• F•••• A••••••• wirehouseApr 17, 2018 to Jun 21, 2022 · Mclean, Va
- R•• C•••••• M••••••• L•• national BDAug 14, 2013 to Apr 17, 2018 · Hunt Valley, Md
- M••••• S•••••• wirehouseJan 10, 2011 to Nov 1, 2012 · Washington, Dc
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 21, 2022, registered Jul 26, 2022 (35 days) · Wirehouse to wirehouse
- R•• C•••••• M••••••• L•• to W•••• F•••• A•••••••left Apr 17, 2018, registered Apr 17, 2018 (0 days) · Affiliated broker-dealer or bank to wirehouse
- M••••• S•••••• to R•• C•••••• M••••••• L••left Nov 1, 2012, registered Aug 14, 2013 (286 days) · Wirehouse to affiliated broker-dealer or bank
Signals
- ••• LockedJun 21, 2022 · 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
- Wirehousederived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address