DFX Intelligence
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Registered advisor
E•••••• S•••••••
Feed of 09/14/2026
At current firm
3 y
since Jun 28, 2023
In the industry
23 y
since Mar 10, 2003 (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
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Jun 28, 2023 · New York, Ny
- M••••• S•••••• wirehouseJun 22, 2012 to Jun 30, 2023 · New York, Ny
- U•• F•••••••• S••••••• I••• wirehouseJan 1, 2010 to Jun 28, 2012 · New York, Ny
- U•• I••••••••• I••• unclassifiedNov 25, 2008 to Jan 1, 2010 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 30, 2023, registered Jun 28, 2023 (-2 days) · Wirehouse to wirehouse · moved with a team
- U•• F•••••••• S••••••• I••• to M••••• S••••••left Jun 28, 2012, registered Jun 22, 2012 (-6 days) · Wirehouse to wirehouse
- U•• I••••••••• I••• to U•• F•••••••• S••••••• I•••left Jan 1, 2010, registered Jan 1, 2010 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedJun 30, 2023 · Advisor changed firm · fact
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
- Wirehousederived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address