DFX Intelligence
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Registered advisor
R•••••• A•••••• C••••
Feed of 09/15/2026
At current firm
6 y
since Aug 27, 2020
In the industry
24 y
since Feb 22, 2002 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
6
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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•••• I••••••••• C••••••• I••• independent RIA currentsince Aug 27, 2020 · New York, Ny
- A•••••• A••••••• S••••••• formerApr 1, 2013 to Feb 24, 2014 · Columbus, Nj
- E••••• J•••• national BDFeb 26, 2013 to Feb 28, 2013 · St Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- A•••••• A••••••• S••••••• to A•••• I••••••••• C••••••• I•••left Feb 24, 2014, registered Aug 27, 2020 (2376 days) · Other
- E••••• J•••• to A•••••• A••••••• S•••••••left Feb 28, 2013, registered Apr 1, 2013 (32 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
- Independent wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address