DFX Intelligence
RIA Intelligence
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Registered advisor
S•••• L•••• F••••••••
Feed of 09/14/2026
At current firm
9 y
since Feb 13, 2017
In the industry
38 y
since Jun 1, 1988 (earliest exam, job or registration)
Prior registered firms
3
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
- F••••••• W••••• A•••••••• L••• independent RIA currentsince Feb 13, 2017 · Wakefield, Ma
- J••••• M••••••••• S•••• L•• BD affiliatedOct 26, 2007 to Oct 2, 2009 · Boston, Ma
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 28, 2006 to Oct 26, 2007 · Falmouth, Ma
- M••• S••••••••• C••••••••• unclassifiedFeb 10, 2004 to Feb 14, 2005 · Wareham, Ma
Moves
a registration end followed by a registration begin elsewhere
- J••••• M••••••••• S•••• L•• to F••••••• W••••• A•••••••• L•••left Oct 2, 2009, registered Feb 13, 2017 (2691 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••••• M••••••••• S•••• L••left Oct 26, 2007, registered Oct 26, 2007 (0 days) · Other
- M••• S••••••••• C••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 14, 2005, registered Jun 28, 2006 (499 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
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address