DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
S••••• A••• S••••••••
Certified Financial Planner
Feed of 09/15/2026
At current firm
0 y
since Oct 1, 2025
In the industry
30 y
since Jun 1, 1996 (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
0
dated events on this person
Registration history
IAPD current and previous registrations
- G•••••• W••••• P•••••••• L•• independent RIA currentsince Oct 1, 2025 · New York, Ny
- M••••• S•••••• C••••••••• unclassifiedMay 25, 2005 to Sep 8, 2009 · Boston, Ma
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• C••••••••• to G•••••• W••••• P•••••••• L••left Sep 8, 2009, registered Oct 1, 2025 (5867 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
- Independent wealth managerderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address