DFX Intelligence

RIA Intelligence

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D••••• S•••• G•••••••

Registered advisorat C••••••••• F•••••••• N••••••IA-only· Nashua, NhIAPD 4476331
At current firm
22 y
since Apr 21, 2004
In the industry
24 y
Prior registered firms
3
Signals
1
As of · the IAPD feed
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Registration history
IAPD current and previous registrations
  • F•••••••• S••••••••• R••••••••• P••••••• unclassified
    Mar 4, 2021 to Jul 24, 2025 · Bedford, Nh
  • A•••• F••••••••• L•• unclassified
    Feb 26, 2008 to Dec 31, 2017 · Nashua, Nh
  • W• G••••••• S••••••••• I••• unclassified
    Jan 30, 2002 to Apr 23, 2004 · Nashua, Nh
Moves
a registration end followed by a registration begin elsewhere
  • F•••••••• S••••••••• R••••••••• P••••••• to no registered destination
    left Jul 24, 2025 · Departure, no registered destination
  • A•••• F••••••••• L•• to F•••••••• S••••••••• R••••••••• P•••••••
    left Dec 31, 2017, registered Mar 4, 2021 (1159 days) · Other
  • W• G••••••• S••••••••• I••• to C••••••••• F•••••••• N••••••
    left Apr 23, 2004, registered Apr 21, 2004 (-2 days) · Other
Signals
  • ••• Locked
    Jul 24, 2025 · Advisor departure · fact
Transition signals

No combined mobility score is published yet. The signals above are on record, each with its own history and base rate.

Provenance
Source
IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class
National broker-dealer RIAderived
Years in industry
24derivedfrom the earliest dated exam, employment or registration
Not published
disclosure flags, outside business text, branch street address