DFX Intelligence
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Registered advisor
R•••••• P••• K••••
R•••••• J•••• F•••••••• S••••••• A•••••••• I••BD affiliatedRidgefield, Ctdual registrantIAPD 4030326
Feed of 09/14/2026
At current firm
0 y
since Feb 16, 2026
In the industry
26 y
since Jan 15, 2000 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Feb 16, 2026 · Ridgefield, Ct
- L•• F•••••••• L•• BD affiliatedJun 13, 2019 to Feb 25, 2026 · Guilford, Ct
- A••••••••• F•••••••• S•••••••• L•• national BDJul 2, 2009 to Jun 13, 2019 · North Haven, Ct
- U•• F•••••••• S••••••• I••• wirehouseAug 26, 2008 to Jul 22, 2009 · New Haven, Ct
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 28, 2005 to Aug 28, 2008 · Boca Raton, Fl
- A••••••••• F•••••••• S•••••••• L•• national BDJan 21, 2000 to Apr 21, 2005 · North Haven, Ct
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Feb 25, 2026, registered Feb 16, 2026 (-9 days) · Affiliated broker-dealer or bank to another
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left Jun 13, 2019, registered Jun 13, 2019 (0 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- U•• F•••••••• S••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Jul 22, 2009, registered Jul 2, 2009 (-20 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Aug 28, 2008, registered Aug 26, 2008 (-2 days) · Wirehouse to wirehouse
- A••••••••• F•••••••• S•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 21, 2005, registered Apr 28, 2005 (7 days) · Affiliated broker-dealer or bank to wirehouse
Signals
- ••• LockedFeb 25, 2026 · 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