DFX Intelligence
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Registered advisor
S•••••••• N•••••• M•••••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as S•••••••• A• N••••••••• A•• N••••••
At current firm
10 y
since Jun 23, 2016
In the industry
25 y
since May 4, 2001 (earliest exam, job or registration)
Prior registered firms
8
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- C••••••• S••••••••• I••• BD affiliated currentsince Jun 23, 2016 · Old Lyme, Ct
- C••••••• S••••••••• I••• BD affiliatedOct 27, 2015 to Jun 3, 2016 · Farmington Hills, Mi
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 29, 2015 to Oct 14, 2015 · Riverside, Ri
- C••••••• S••••••••• I••• BD affiliatedAug 28, 2012 to Nov 26, 2014 · Riverside, Ri
- M•• F•••••••• S•••••••• I••• formerMar 30, 2009 to Aug 28, 2012 · Cranston, Ri
- A••••••••• F•••••••• S•••••••• L•• national BDApr 9, 2008 to Dec 3, 2008 · Providence, Ri
All 8 prior registrationsShow fewer
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedDec 12, 2006 to Jan 23, 2008 · East Providence, Ri
- V•••• F•••••••• A•••••••• I••• BD affiliatedNov 29, 2004 to Apr 24, 2006 · Orlando, Fl
- C•••••••• G••••• M•••••• I••• BD affiliatedSep 4, 2001 to May 13, 2004 · Providence, Ri
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••••• S••••••••• I•••left Oct 14, 2015, registered Oct 27, 2015 (13 days) · Other · moved with a team
- C••••••• S••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 26, 2014, registered Jan 29, 2015 (64 days) · Other
- M•• F•••••••• S•••••••• I••• to C••••••• S••••••••• I•••left Aug 28, 2012, registered Aug 28, 2012 (0 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to M•• F•••••••• S•••••••• I•••left Dec 3, 2008, registered Mar 30, 2009 (117 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Jan 23, 2008, registered Apr 9, 2008 (77 days) · Other
All 7 movesShow fewer
- V•••• F•••••••• A•••••••• I••• to R•••••• J•••• F•••••••• S•••••••• I•••left Apr 24, 2006, registered Dec 12, 2006 (232 days) · Other
- C•••••••• G••••• M•••••• I••• to V•••• F•••••••• A•••••••• I•••left May 13, 2004, registered Nov 29, 2004 (200 days) · Other
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address