DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
E••• W••• H•••••
Feed of 09/15/2026
At current firm
3 y
since Dec 9, 2022
In the industry
27 y
since Jan 5, 1999 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65, 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
- W•••• F•••• A••••••• wirehouse currentsince Dec 9, 2022 · Melville, Ny
- K•• I••••••••• S••••••• L•• BD affiliatedFeb 21, 2017 to Dec 12, 2022 · Poughkeepsie, Ny
- A••••••••• F•••••••• S•••••••• L•• national BDMay 12, 2015 to Jul 28, 2016 · Oxford, Ct
- A••••••••• F•••••••• S•••••••• L•• national BDApr 4, 2014 to May 20, 2014 · Westport, Ct
- C•••••••• G••••• M•••••• I••• BD affiliatedApr 23, 1999 to Jul 30, 2007 · Greenwich, Ct
Moves
a registration end followed by a registration begin elsewhere
- K•• I••••••••• S••••••• L•• to W•••• F•••• A•••••••left Dec 12, 2022, registered Dec 9, 2022 (-3 days) · Affiliated broker-dealer or bank to wirehouse
- A••••••••• F•••••••• S•••••••• L•• to K•• I••••••••• S••••••• L••left Jul 28, 2016, registered Feb 21, 2017 (208 days) · Other
- C•••••••• G••••• M•••••• I••• to A••••••••• F•••••••• S•••••••• L••left Jul 30, 2007, registered Apr 4, 2014 (2440 days) · Other
Signals
- E••• W••• H••••• left K•• I••••••••• S••••••• L•• for W•••• F•••• A••••••• (registered 2022-12-09)Dec 12, 2022 · Advisor changed firm · 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
- Wirehousederived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address