DFX Intelligence
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Registered advisor
N•••••• S••••••••
Feed of 09/14/2026
Also filed as N•••••• S••••••••• S••••••••• S••••••••• S••••••••• J• S••••••••• S••••••••• S••••••••
At current firm
0 y
since Nov 13, 2025
In the industry
20 y
since Nov 2, 2005 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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
- V••• F•••••••• A•••••••• I••• BD affiliated currentsince Nov 13, 2025 · Boston, Ma
- S•••••••• A••••••• L•• national BDMar 31, 2025 to Nov 20, 2025 · Malden, Ma
- F••••••• P••••••• A•• W•••••••• A••••••• formerDec 23, 2021 to Mar 31, 2025 · Westwood, Ma
- J••• M••••• S••••••••• L•• wirehouseMar 12, 2019 to Nov 5, 2021 · Boston, Ma
- C••••••• S••••••••• I••• BD affiliatedJan 7, 2016 to Feb 11, 2019 · Boston, Ma
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 19, 2012 to Nov 19, 2015 · Boston, Ma
Moves
a registration end followed by a registration begin elsewhere
- S•••••••• A••••••• L•• to V••• F•••••••• A•••••••• I•••left Nov 20, 2025, registered Nov 13, 2025 (-7 days) · Affiliated broker-dealer or bank to another · moved with a team
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- J••• M••••• S••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Nov 5, 2021, registered Dec 23, 2021 (48 days) · Wirehouse to affiliated broker-dealer or bank
- C••••••• S••••••••• I••• to J••• M••••• S••••••••• L••left Feb 11, 2019, registered Mar 12, 2019 (29 days) · Affiliated broker-dealer or bank to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••••• S••••••••• I•••left Nov 19, 2015, registered Jan 7, 2016 (49 days) · Other
Signals
- ••• LockedNov 20, 2025 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address