DFX Intelligence
RIA Intelligence
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Registered advisor
E•••••• S••••••••
Feed of 09/14/2026
At current firm
10 y
since Dec 2, 2015
In the industry
26 y
since Sep 12, 2000 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
4
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
- U•• F•••••••• S••••••• I••• wirehouse currentsince Dec 2, 2015 · New York, Ny
- C••••• S••••• S••••••••• •••• L•• formerApr 8, 2009 to Dec 18, 2015 · New York, Ny
- U•• I••••••••• I••• unclassifiedMay 21, 2004 to Apr 23, 2009 · New York, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 12, 2000 to May 25, 2004 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- C••••• S••••• S••••••••• •••• L•• to U•• F•••••••• S••••••• I•••left Dec 18, 2015, registered Dec 2, 2015 (-16 days) · corporate re-registration, not a move
- U•• I••••••••• I••• to C••••• S••••• S••••••••• •••• L••left Apr 23, 2009, registered Apr 8, 2009 (-15 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• I••••••••• I•••left May 25, 2004, registered May 21, 2004 (-4 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
- Wirehousederived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address