DFX Intelligence
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Registered advisor
T•••••• S•••• S•••••••
Feed of 09/14/2026
At current firm
5 y
since Nov 9, 2020
In the industry
26 y
since Feb 17, 2000 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S65
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•••••• A••••••• BD affiliated currentsince Nov 9, 2020 · Worcester, Ma
- A••••• A•• P••••••• S••••••• BD affiliatedMay 10, 2007 to Nov 13, 2020 · Waltham, Ma
- U•• F•••••••• S••••••• I••• wirehouseMar 16, 2000 to May 7, 2002 · San Diego, Ca
Moves
a registration end followed by a registration begin elsewhere
- A••••• A•• P••••••• S••••••• to C•••••• A•••••••left Nov 13, 2020, registered Nov 9, 2020 (-4 days) · Affiliated broker-dealer or bank to another
- U•• F•••••••• S••••••• I••• to A••••• A•• P••••••• S•••••••left May 7, 2002, registered May 10, 2007 (1829 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
- 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