DFX Intelligence
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Registered advisor
T••••••• S• S••••••
Feed of 09/14/2026
Also filed as T••••••• S• S••••••••• S• S••••••••• S••••••
At current firm
1 y
since Sep 3, 2025
In the industry
27 y
since Apr 1, 1999 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
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
- P••• A••••• S••••••••• L•• BD affiliated currentsince Sep 3, 2025 · New York, Ny
- P•••• S••••••••• L•• no RAUMJun 13, 2001 to Oct 12, 2020 · Middlebury, Ct
Moves
a registration end followed by a registration begin elsewhere
- P•••• S••••••••• L•• to P••• A••••• S••••••••• L••left Oct 12, 2020, registered Sep 3, 2025 (1787 days) · Affiliated broker-dealer or bank to another
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address