DFX Intelligence
RIA Intelligence
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Registered advisor
I•• D••• S••••••••
Feed of 09/15/2026
At current firm
7 y
since Jul 19, 2019
In the industry
23 y
since Nov 4, 2002 (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
- R•••••• J•••• • A••••••••• I••• national BD currentsince Jul 19, 2019 · Wilmington, De
- P•• W••••• M••••••••• BD affiliatedJan 1, 2004 to Jul 31, 2019 · Newark, De
- J••••• H•••••••• W••• L••••• L•• formerMay 29, 2003 to Jan 1, 2004 · Wilmington, De
Moves
a registration end followed by a registration begin elsewhere
- P•• W••••• M••••••••• to R•••••• J•••• • A••••••••• I•••left Jul 31, 2019, registered Jul 19, 2019 (-12 days) · Affiliated broker-dealer or bank to another
- J••••• H•••••••• W••• L••••• L•• to P•• W••••• M•••••••••left Jan 1, 2004, registered Jan 1, 2004 (0 days) · corporate re-registration, not a move
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
- National broker-dealer RIAderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address