DFX Intelligence
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Registered advisor
N••••••• P•••••••
Feed of 09/15/2026
Also filed as N••••••• R• P•••••••
At current firm
1 y
since Oct 10, 2024
In the industry
24 y
since Mar 28, 2002 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Oct 10, 2024 · San Diego, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDApr 24, 2015 to Oct 10, 2024 · Melville, Ny
- M••••• S•••••• wirehouseJun 1, 2009 to May 5, 2015 · Jericho, Ny
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Jericho, Ny
- M••••• S•••••• D• I••• unclassifiedFeb 9, 2007 to Apr 2, 2007 · Jericho, Ny
- U•• F•••••••• S••••••• I••• wirehouseNov 17, 2003 to Feb 16, 2007 · Mitchell Field, Ny
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left Oct 10, 2024, registered Oct 10, 2024 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
- M••••• S•••••• to A••••••••• F•••••••• S•••••••• L••left May 5, 2015, registered Apr 24, 2015 (-11 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to M••••• S•••••• D• I•••left Feb 16, 2007, registered Feb 9, 2007 (-7 days) · Other
Signals
- ••• LockedOct 10, 2024 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address