DFX Intelligence
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L••• S••••
Registered advisorat S•••••• N••••••• • C••••••• I•••••••••Dual registrant· Garden City, NyIAPD 3222494
As of · the IAPD feed; also filed as L••• S••••••••• S••••
- At current firm
- 1 y
- In the industry
- 22 y
- Prior registered firms
- 7
- Signals
- 1
since Jun 24, 2025
As of · the IAPD feed; also filed as L••• S••••••••• S••••
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Registration history
IAPD current and previous registrations
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Jun 24, 2025 · Garden City, Ny
- M••••• S•••••• wirehouseFeb 16, 2021 to Mar 4, 2025 · Garden City, Ny
- W•••• F•••• A••••••• wirehouseDec 2, 2011 to Dec 7, 2020 · Woodbury, Ny
- M••••• S•••••• wirehouseJun 1, 2009 to Dec 12, 2011 · Jericho, Ny
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Jericho, Ny
- M••••• S•••••• D• I••• unclassifiedOct 13, 2005 to Apr 2, 2007 · Jericho, Ny
All 7 prior registrationsShow fewer
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 2, 2005 to Sep 14, 2005 · Great Neck, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 9, 2004 to Jul 16, 2004 · Garden City, Ny
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to S•••••• N••••••• • C••••••• I•••••••••left Mar 4, 2025, registered Jun 24, 2025 (112 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• A••••••• to M••••• S••••••left Dec 7, 2020, registered Feb 16, 2021 (71 days) · Wirehouse to wirehouse
- M••••• S•••••• to W•••• F•••• A•••••••left Dec 12, 2011, registered Dec 2, 2011 (-10 days) · Wirehouse to wirehouse
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
All 6 movesShow fewer
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S•••••• D• I•••left Sep 14, 2005, registered Oct 13, 2005 (29 days) · Other
Signals
- ••• LockedMar 4, 2025 · Advisor changed firm · fact
Transition signals
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
- National broker-dealer RIAderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address