DFX Intelligence
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Registered advisor
R•••••• R•••••• S••••
Feed of 09/15/2026
At current firm
0 y
since Dec 2, 2025
In the industry
28 y
since May 15, 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, S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince Dec 2, 2025 · Naples, Fl
- U•• F•••••••• S••••••• I••• wirehouseMay 15, 2018 to Dec 12, 2025 · Weehawken, Nj
- W•••• F•••• A••••••• wirehouseJun 23, 2006 to Jun 3, 2011 · Norwell, Ma
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Dec 12, 2025, registered Dec 2, 2025 (-10 days) · Wirehouse to wirehouse · moved with a team
- W•••• F•••• A••••••• to U•• F•••••••• S••••••• I•••left Jun 3, 2011, registered May 15, 2018 (2538 days) · Wirehouse to wirehouse
Signals
- ••• LockedDec 12, 2025 · 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
- Wirehousederived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address