DFX Intelligence
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Registered advisor
D•••• A•••••
Chartered Financial Consultant
Feed of 09/19/2026
Also filed as D•••• C•••••• A••••••••• C•••••• A••••••••• C•••••• A••••••••• C•••••• A••••••••• C• A•••••
At current firm
1 y
since Mar 31, 2025
In the industry
20 y
since Nov 14, 2005 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
2
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
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Chappaqua, Ny
- F••••••• P••••••• A•• W•••••••• A••••••• formerJan 12, 2022 to Mar 31, 2025 · Chappaqua, Ny
- W•••• F•••• A••••••• wirehouseFeb 24, 2021 to Dec 20, 2021 · Spring Valley, Ny
- T• A••••••••• I••••••••• M••••••••• L•• formerSep 13, 2019 to Dec 31, 2020 · New City, Ny
- T• A••••••••• I••• formerSep 11, 2019 to Jan 11, 2021 · New City, Ny
- S•••••••• I••••••••• M••••••••• formerJan 11, 2017 to Jan 31, 2018 · Saint Louis, Mo
- C••• B•••••••• S•••••••• I••• formerNov 21, 2005 to Jan 3, 2006 · Kingston, Ny
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Dec 20, 2021, registered Jan 12, 2022 (23 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jan 11, 2021, registered Sep 13, 2019 (-486 days) · channel change inside one enterprise, not a move · moved with a team
- T• A••••••••• I••••••••• M••••••••• L•• to W•••• F•••• A•••••••left Dec 31, 2020, registered Feb 24, 2021 (55 days) · RIA to wirehouse
- S•••••••• I••••••••• M••••••••• to T• A••••••••• I•••left Jan 31, 2018, registered Sep 11, 2019 (588 days) · channel change inside one enterprise, not a move
- C••• B•••••••• S•••••••• I••• to S•••••••• I••••••••• M•••••••••left Jan 3, 2006, registered Jan 11, 2017 (4026 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
- National broker-dealer RIAderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address