DFX Intelligence
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Registered advisor
S••••• W• L•••••••••
Feed of 09/14/2026
At current firm
6 y
since Apr 29, 2020
In the industry
25 y
since Mar 30, 2001 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Apr 29, 2020 · Stuart, Fl
- A••••••••• F•••••••• S•••••••• L•• national BDDec 16, 2008 to Dec 9, 2016 · Stuart, Fl
- U•• F•••••••• S••••••• I••• wirehouseNov 22, 2002 to Dec 26, 2008 · Palm Beach, Fl
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left Dec 9, 2016, registered Apr 29, 2020 (1237 days) · Affiliated broker-dealer or bank to another · moved with a team
- U•• F•••••••• S••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Dec 26, 2008, registered Dec 16, 2008 (-10 days) · Wirehouse to affiliated broker-dealer or bank
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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address