DFX Intelligence
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Registered advisor
R••••• S• F••••
Feed of 09/15/2026
Also filed as S•••• F••••••••• S• F••••••••• S•••• F••••
At current firm
10 y
since Feb 8, 2016
In the industry
24 y
since Jul 8, 2002 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
36
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- P••• A••••• S••••••••• L•• BD affiliated currentsince Feb 8, 2016 · Rye Brook, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 18, 2012 to Jul 29, 2015 · Scarsdale, Ny
- P••• A••••• S••••••••• L•• BD affiliatedFeb 5, 2010 to Jan 6, 2012 · Rye Brook, Ny
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P••• A••••• S••••••••• L••left Jul 29, 2015, registered Feb 8, 2016 (194 days) · Other
- P••• A••••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 6, 2012, registered Jan 18, 2012 (12 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address