DFX Intelligence
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Registered advisor
C•••••• R•• S••••••
Feed of 09/14/2026
Also filed as C••••••• S••••••
At current firm
5 y
since Sep 20, 2021
In the industry
26 y
since Mar 16, 2000 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
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
- W•••• F•••• A••••••• wirehouse currentsince Sep 20, 2021 · Manchester, Nh
- U•• F•••••••• S••••••• I••• wirehouseApr 17, 2013 to Oct 12, 2021 · Andover, Ma
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Apr 19, 2013 · Nashua, Nh
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedFeb 27, 2007 to Oct 23, 2009 · Burlington, Ma
- S•••••••• A••••••• L•• national BDJun 13, 2003 to Feb 26, 2007 · Framingham, Ma
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Oct 12, 2021, registered Sep 20, 2021 (-22 days) · Wirehouse to wirehouse · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Apr 19, 2013, registered Apr 17, 2013 (-2 days) · Wirehouse to wirehouse
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to B••• O• A•••••• I••••••••• S•••••••• I•••left Feb 26, 2007, registered Feb 27, 2007 (1 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
- Wirehousederived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address