DFX Intelligence
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Registered advisor
D••• E•••••• V•••••
Feed of 09/15/2026
At current firm
4 y
since Nov 1, 2021
In the industry
48 y
since May 1, 1978 (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
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
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Nov 1, 2021 · New Haven, Ct
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJan 2, 2009 to Nov 11, 2021 · Hamden, Ct
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedAug 8, 2005 to Jan 2, 2009 · Hamden, Ct
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to A••••••••• F•••••••• S•••••••• L••left Nov 11, 2021, registered Nov 1, 2021 (-10 days) · Affiliated broker-dealer or bank to another · moved with a team
- R•••••• J•••• F•••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jan 2, 2009, registered Jan 2, 2009 (0 days) · corporate re-registration, not a move
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
- National broker-dealer RIAderived
- Years in industry
- 48derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address