DFX Intelligence
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Registered advisor
A•••• Q•••••••••
Feed of 09/14/2026
Also filed as A•••• Q••••••••• B••••••••• Q••••••••• G••••••••• Q• G•••••
At current firm
7 y
since Dec 5, 2018
In the industry
26 y
since Nov 30, 1999 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Dec 5, 2018 · Springfield, Ma
- N••••••••• M••••• I••••••••• S••••••••• no RAUMDec 2, 2005 to Oct 23, 2018 · West Hartford, Ct
- S•••••••• A••••••• L•• national BDSep 25, 2000 to Jan 22, 2004 · West Hartford, Ct
Moves
a registration end followed by a registration begin elsewhere
- N••••••••• M••••• I••••••••• S••••••••• to M•• I•••••••• S•••••••• L••left Oct 23, 2018, registered Dec 5, 2018 (43 days) · Other
- S•••••••• A••••••• L•• to N••••••••• M••••• I••••••••• S•••••••••left Jan 22, 2004, registered Dec 2, 2005 (680 days) · Other
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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address