DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
D••• D•••••
Feed of 09/15/2026
Also filed as D••• D•••••
At current firm
4 y
since Oct 27, 2021
In the industry
24 y
since Jan 25, 2002 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- G•••••• C•••••• G•••• L•• state registered currentsince Oct 27, 2021 · New York, Ny
- E•• I••••••••• A•••••• C••••••••• unclassifiedMay 12, 2010 to Sep 22, 2011 · New York, Ny
- B• R•••• W••••• A•••••••• I••• BD affiliatedDec 10, 2007 to Sep 2, 2008 · New York, Ny
- C•••• I••••••••• S••••••• C•••• formerJun 24, 2005 to Dec 12, 2007 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- E•• I••••••••• A•••••• C••••••••• to G•••••• C•••••• G•••• L••left Sep 22, 2011, registered Oct 27, 2021 (3688 days) · Other
- B• R•••• W••••• A•••••••• I••• to E•• I••••••••• A•••••• C•••••••••left Sep 2, 2008, registered May 12, 2010 (617 days) · Other
- C•••• I••••••••• S••••••• C•••• to B• R•••• W••••• A•••••••• I•••left Dec 12, 2007, registered Dec 10, 2007 (-2 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
- STATE REGISTEREDderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address