DFX Intelligence

RIA Intelligence

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Registered advisor

M•••••• P••• G•••••

E•••••••• A•••••••• L••national BDBala Cynwyd, Pa dual registrantIAPD 3049605
Feed of 09/15/2026
At current firm
24 y
since Apr 22, 2002
In the industry
24 y
since Mar 1, 2002 (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
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
  • F•••••••• P••••••• P••••••• L•• unclassified
    Apr 9, 2021 to Dec 1, 2025 · Bala Cynwyd, Pa
  • K••• B•••• F•••••••• P•••••••• I••• unclassified
    Sep 16, 2015 to May 25, 2021 · Bala Cynwyd, Pa
Moves
a registration end followed by a registration begin elsewhere
  • F•••••••• P••••••• P••••••• L•• to no registered destination
    left Dec 1, 2025 · Departure, no registered destination
  • K••• B•••• F•••••••• P•••••••• I••• to F•••••••• P••••••• P••••••• L••
    left May 25, 2021, registered Apr 9, 2021 (-46 days) · Other
Signals
  • ••• Locked
    Dec 1, 2025 · Advisor departure · fact
Transition signals

No combined mobility score is published yet. The signals above are on record, each with its own history and base rate.

Provenance
Source
IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class
National broker-dealer RIAderived
Years in industry
24derivedfrom the earliest dated exam, employment or registration
Not published
disclosure flags, outside business text, branch street address