DFX Intelligence
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Registered advisor
S••••• A••••• N•••••
Feed of 09/22/2026
At current firm
0 y
since Sep 21, 2026
In the industry
28 y
since May 20, 1998 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
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
- I••••••••• A••••• I••••••••• M••••••••• L•• BD affiliated currentsince Sep 21, 2026 · Orlando, Fl
- W•••• I••••••••• A•••••••• L•• otherOct 22, 2025 to Jul 16, 2026 · Tampa, Fl
- W•••• A••••••• S••••••• formerFeb 28, 2014 to Dec 3, 2025 · Lincroft, Nj
- L•• F•••••••• L•• BD affiliatedFeb 29, 2008 to Dec 13, 2013 · Toms River, Nj
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 14, 2005 to Mar 3, 2008 · Sea Girt, Nj
- N•• Y••• L••• I••••••••• M••••••••• L•• asset managerApr 10, 2003 to Oct 17, 2003 · Parsippany, Nj
Moves
a registration end followed by a registration begin elsewhere
- W•••• I••••••••• A•••••••• L•• to I••••••••• A••••• I••••••••• M••••••••• L••left Jul 16, 2026, registered Sep 21, 2026 (67 days) · Other
- W•••• A••••••• S••••••• to W•••• I••••••••• A•••••••• L••left Dec 3, 2025, registered Oct 22, 2025 (-42 days) · Other
- L•• F•••••••• L•• to W•••• A••••••• S•••••••left Dec 13, 2013, registered Feb 28, 2014 (77 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to L•• F•••••••• L••left Mar 3, 2008, registered Feb 29, 2008 (-3 days) · Other
- N•• Y••• L••• I••••••••• M••••••••• L•• to B••• O• A•••••• I••••••••• S•••••••• I•••left Oct 17, 2003, registered Oct 14, 2005 (728 days) · Other
Signals
- ••• LockedSep 21, 2026 · Advisor registered · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address