DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
S••• L•••• D••••••
Feed of 09/14/2026
At current firm
0 y
since Apr 30, 2026
In the industry
25 y
since May 11, 2001 (earliest exam, job or registration)
Prior registered firms
5
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
- D•••••• C••••••••• state registered currentsince Apr 30, 2026 · Adamstown, Md
- D•••••• C••••••••• state registeredMar 28, 2025 to Dec 31, 2025 · Adamstown, Md
- D•••••• C••••••••• state registeredJan 10, 2024 to Dec 31, 2024 · Adamstown, Md
- D•••••• C••••••••• state registeredFeb 8, 2021 to Dec 31, 2023 · Adamstown, Md
- T•••• A•••••••• L•• formerOct 2, 2002 to Jan 3, 2007 · Germantown, Md
- M••••• S•••••• D• I••• unclassifiedAug 13, 2001 to Sep 18, 2002 · Washington, Dc
Moves
a registration end followed by a registration begin elsewhere
- T•••• A•••••••• L•• to D•••••• C•••••••••left Jan 3, 2007, registered Feb 8, 2021 (5150 days) · Other
- M••••• S•••••• D• I••• to T•••• A•••••••• L••left Sep 18, 2002, registered Oct 2, 2002 (14 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
- STATE REGISTEREDderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address