DFX Intelligence
RIA Intelligence
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Registered advisor
E••• B• D•••••
Feed of 09/14/2026
At current firm
6 y
since Oct 17, 2019
In the industry
25 y
since Aug 10, 2001 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
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
- J••••• M••••••••• S•••• L•• BD affiliated currentsince Oct 17, 2019 · Bel Air, Md
- W•••• F•••• A••••••• wirehouseFeb 20, 2009 to Oct 24, 2019 · Bel Air, Md
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 21, 2006 to Mar 12, 2009 · Bel Air, Md
- L••• M•••• W••• W•••••• I••••••••• unclassifiedAug 30, 2001 to Feb 21, 2006 · Bel Air, Md
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to J••••• M••••••••• S•••• L••left Oct 24, 2019, registered Oct 17, 2019 (-7 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- C•••••••• G••••• M•••••• I••• to W•••• F•••• A•••••••left Mar 12, 2009, registered Feb 20, 2009 (-20 days) · Other
- L••• M•••• W••• W•••••• I••••••••• to C•••••••• G••••• M•••••• I•••left Feb 21, 2006, registered Feb 21, 2006 (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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address