DFX Intelligence
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This advisor's name, 5 more prior firms in the career history and 5 more moves
Career history, every move, licensing and registration changes, outside business activity and the contact routes the firm publishes, each with the official record linked.
Includes 3 days of DFX Intelligence. Then $249/month unless canceled.
A Financial Advisor In Pennsylvania
Chartered Financial Analyst
As of · the IAPD feed
- In the industry
- 27 y
- Prior registered firms
- 8
- Signals
- 1
As of · the IAPD feed
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Registration history
IAPD current and previous registrations
- Charles Schwab & Co., Inc. brokerage advisory currentsince Sep 24, 2026 · Horsham, Pa
- Thrivent Investment Management Inc. BD affiliatedJul 23, 2025 to Oct 17, 2025 · Minneapolis, Mn
- LPL Enterprise, LLC BD affiliatedNov 14, 2024 to Jul 14, 2025 · Warrington, Pa
- Pruco Securities, LLC no RAUMJul 23, 2024 to Nov 14, 2024 · Warrington, Pa
+5 more prior firms in the career history
Includes 3 days of DFX Intelligence. Then $249/month unless canceled.
Moves
a registration end followed by a registration begin elsewhere
- Thrivent Investment Management Inc. to Charles Schwab & Co., Inc.left Oct 17, 2025, registered Sep 24, 2026 (342 days) · Other
- LPL Enterprise, LLC to Thrivent Investment Management Inc.left Jul 14, 2025, registered Jul 23, 2025 (9 days) · Affiliated broker-dealer or bank to another
- Pruco Securities, LLC to LPL Enterprise, LLCleft Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
+5 more moves
Includes 3 days of DFX Intelligence. Then $249/month unless canceled.
Signals
- Sep 24, 2026 · Advisor registered · fact
Transition signalsWhat these will draw onThe 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.
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
- Brokerage advisory programderived
- Years in industry
- 27 yderivedfrom the earlier of the first exam and the first registration on IAPD
- Not published
- disclosure flags, the raw outside business text and any address in it, personal outside activities, branch street addressoutside businesses appear above as structured facts, reviewed, with a short quote