DFX Intelligence
RIA Intelligence
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Feed of 09/14/2026
At current firm
1 y
since Jan 24, 2025
In the industry
28 y
since Jul 24, 1998 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- O•••• W•••••• I••• BD affiliated currentsince Jan 24, 2025 · Pelham, Ny
- O•••• F•• I••• formerNov 1, 2016 to Jan 24, 2025 · Rye Brook, Ny
- S••••••• I••••••••• I••• formerOct 16, 2007 to Nov 5, 2016 · New York City, Ny
Moves
a registration end followed by a registration begin elsewhere
- O•••• F•• I••• to O•••• W•••••• I•••left Jan 24, 2025, registered Jan 24, 2025 (0 days) · corporate re-registration, not a move
- S••••••• I••••••••• I••• to O•••• F•• I•••left Nov 5, 2016, registered Nov 1, 2016 (-4 days) · Other
Signals
No dated event on this person.
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