DFX Intelligence
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Registered advisor
S••••• D• W•••••
Feed of 09/15/2026
Also filed as S••••• D••••• W••••••••• W•••••
At current firm
1 y
since Mar 31, 2025
In the industry
24 y
since Sep 11, 2002 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Center Valley, Pa
- F••••••• P••••••• A•• W•••••••• A••••••• formerNov 30, 2023 to Mar 31, 2025 · Center Valley, Pa
- M••••• S•••••• wirehouseSep 5, 2023 to Oct 13, 2023 · West Conshohocken, Pa
- E•••••• C•••••• M••••••••• L•• formerApr 20, 2009 to Sep 5, 2023 · Arlington, Va
- W•••• F•••• A••••••• wirehouseSep 11, 2002 to Nov 30, 2004 · Norristown, Pa
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- M••••• S•••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Oct 13, 2023, registered Nov 30, 2023 (48 days) · Wirehouse to affiliated broker-dealer or bank
- E•••••• C•••••• M••••••••• L•• to M••••• S••••••left Sep 5, 2023, registered Sep 5, 2023 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to E•••••• C•••••• M••••••••• L••left Nov 30, 2004, registered Apr 20, 2009 (1602 days) · Other
Signals
- ••• LockedOct 13, 2023 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address