DFX Intelligence
RIA Intelligence
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Registered advisor
E••• D••••• F•••••••
Feed of 09/14/2026
At current firm
13 y
since Mar 12, 2013
In the industry
28 y
since Aug 13, 1998 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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
- N••••••••• M••••• I••••••••• S••••••••• no RAUM currentsince Mar 12, 2013 · West Hartford, Ct
- L•• F•••••••• L•• BD affiliatedJun 15, 2006 to Feb 19, 2013 · Avon, Ct
- N••••••••• I••••••••• I••• unclassifiedJan 24, 2005 to Jun 20, 2006 · New Haven, Ct
- O•••• I••••••••• I••• BD affiliatedMar 28, 2003 to Apr 1, 2004 · Vernon, Ct
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to N••••••••• M••••• I••••••••• S•••••••••left Feb 19, 2013, registered Mar 12, 2013 (21 days) · Other
- N••••••••• I••••••••• I••• to L•• F•••••••• L••left Jun 20, 2006, registered Jun 15, 2006 (-5 days) · Other
- O•••• I••••••••• I••• to N••••••••• I••••••••• I•••left Apr 1, 2004, registered Jan 24, 2005 (298 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
- No RAUM reportedderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address