DFX Intelligence
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Registered advisor
S•••••• R• O••
Feed of 09/15/2026
At current firm
10 y
since Feb 23, 2016
In the industry
18 y
since Nov 20, 2007 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
14
current, as an IAR
Firms today
1
current registrations
Exams
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
- C••••••• S••••••••• I••• BD affiliated currentsince Feb 23, 2016 · Monroeville, Pa
- T• A••••••••• I••••••••• M••••••••• L•• formerNov 4, 2015 to Feb 22, 2016 · Pittsburgh, Pa
- T• A••••••••• I••• formerNov 4, 2015 to Feb 22, 2016 · Pittsburgh, Pa
- P•• W••••• M••••••••• BD affiliatedOct 17, 2011 to Oct 8, 2015 · Pittsburgh, Pa
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 22, 2016, registered Nov 4, 2015 (-110 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to C••••••• S••••••••• I•••left Feb 22, 2016, registered Feb 23, 2016 (1 days) · Other
- P•• W••••• M••••••••• to T• A••••••••• I•••left Oct 8, 2015, registered Nov 4, 2015 (27 days) · Other
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address