DFX Intelligence
RIA Intelligence
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Registered advisor
M•••••• S•••• F•••••
Certified Financial Planner
Feed of 09/14/2026
At current firm
9 y
since Jan 18, 2017
In the industry
26 y
since Aug 10, 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
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- I••••••••• W••••• C••••••• L•• independent RIA currentsince Jan 18, 2017 · Worcester, Ma
- O•••• F•• I••• formerDec 12, 2003 to Jan 25, 2017 · Laconia, Nh
- V••••••• I••••••••• A•••••••• I••• unclassifiedApr 18, 2002 to Dec 9, 2003 · Waltham, Ma
Moves
a registration end followed by a registration begin elsewhere
- O•••• F•• I••• to I••••••••• W••••• C••••••• L••left Jan 25, 2017, registered Jan 18, 2017 (-7 days) · Other
- V••••••• I••••••••• A•••••••• I••• to O•••• F•• I•••left Dec 9, 2003, registered Dec 12, 2003 (3 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address