DFX 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•••••• B•••••
Feed of 09/14/2026
Also filed as S•••••• B••••••••• M•••••• B•••••
At current firm
3 y
since Aug 4, 2023
In the industry
22 y
since Aug 10, 2004 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Aug 4, 2023 · New York, Ny
- W•••• F•••• A••••••• wirehouseJan 2, 2014 to Aug 11, 2023 · New York, Ny
- M••••• S•••••• wirehouseNov 12, 2010 to Jan 29, 2014 · New York, Ny
- S•••••••• A••••••• L•• national BDJul 7, 2005 to Oct 29, 2009 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••left Aug 11, 2023, registered Aug 4, 2023 (-7 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• to W•••• F•••• A•••••••left Jan 29, 2014, registered Jan 2, 2014 (-27 days) · Wirehouse to wirehouse
- S•••••••• A••••••• L•• to M••••• S••••••left Oct 29, 2009, registered Nov 12, 2010 (379 days) · Affiliated broker-dealer or bank to wirehouse
Signals
- ••• LockedAug 11, 2023 · Advisor changed firm · fact
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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address