DFX Intelligence
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Registered advisor
P••• G• U••••••
Feed of 09/14/2026
At current firm
10 y
since Sep 13, 2016
In the industry
26 y
since Jul 27, 2000 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
5
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
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Sep 13, 2016 · Hunt Valley, Md
- U•• F•••••••• S••••••• I••• wirehouseMar 9, 2007 to Dec 15, 2015 · Hunt Valley, Md
- M••••• S•••••• D• I••• unclassifiedJan 30, 2001 to Mar 12, 2007 · Hunt Valley, Md
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to T••••• A••••••• S•••••••• I•••left Dec 15, 2015, registered Sep 13, 2016 (273 days) · Wirehouse to a newly registered adviser (no RAUM reported yet) · moved with a team
- M••••• S•••••• D• I••• to U•• F•••••••• S••••••• I•••left Mar 12, 2007, registered Mar 9, 2007 (-3 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address