DFX Intelligence
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Registered advisor
P••• C••••••• S••••
Feed of 09/14/2026
At current firm
4 y
since Apr 1, 2022
In the industry
26 y
since Oct 25, 1999 (earliest exam, job or registration)
Prior registered firms
1
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••• W••••• P•••••••• L•• BD affiliated currentsince Apr 1, 2022 · Garden City, Ny
- A••••• A•• P••••••• S••••••• BD affiliatedDec 2, 2010 to Mar 2, 2022 · Melville, Ny
Moves
a registration end followed by a registration begin elsewhere
- A••••• A•• P••••••• S••••••• to S•••••• W••••• P•••••••• L••left Mar 2, 2022, registered Apr 1, 2022 (30 days) · Affiliated broker-dealer or bank to another
Signals
- ••• LockedMar 2, 2022 · Advisor changed firm · fact
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
- 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