DFX Intelligence
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Registered advisor
S•••• E•••••••• B•••••••••
Feed of 09/14/2026
Also filed as S•••• E•••••••• K••••••••• E•••••••• K••••••••• E•••••••• E••••
At current firm
7 y
since Aug 19, 2019
In the industry
24 y
since Apr 18, 2002 (earliest exam, job or registration)
Prior registered firms
7
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Aug 19, 2019 · Gettysburg, Pa
- P•••• S••••••••• L•• no RAUMApr 13, 2017 to Aug 13, 2019 · Camp Hill, Pa
- A••••••••• F•••••••• S•••••••• L•• national BDFeb 27, 2015 to Feb 27, 2017 · Rye Brook, Ny
- A••••••••• F•••••••• S•••••••• L•• national BDApr 3, 2014 to Feb 9, 2015 · Newark, De
- P•• W••••• M••••••••• BD affiliatedNov 1, 2013 to Apr 7, 2014 · Glen Mills, Pa
- I••••• F•••••••• C••••••••• formerSep 22, 2009 to Mar 8, 2013 · Carlisle, Pa
- C••• F•••••••• S•••••••• L••• formerMay 8, 2006 to Sep 11, 2009 · Chambersburg, Pa
- M••••• S•••••• D• I••• unclassifiedFeb 23, 2004 to Jan 3, 2005 · Hagerstown, Md
Moves
a registration end followed by a registration begin elsewhere
- P•••• S••••••••• L•• to C••••• I••••••••• A••••••• L••left Aug 13, 2019, registered Aug 19, 2019 (6 days) · Affiliated broker-dealer or bank to another
- A••••••••• F•••••••• S•••••••• L•• to P•••• S••••••••• L••left Feb 27, 2017, registered Apr 13, 2017 (45 days) · Other
- P•• W••••• M••••••••• to A••••••••• F•••••••• S•••••••• L••left Apr 7, 2014, registered Apr 3, 2014 (-4 days) · Other
- I••••• F•••••••• C••••••••• to P•• W••••• M•••••••••left Mar 8, 2013, registered Nov 1, 2013 (238 days) · Other
- C••• F•••••••• S•••••••• L••• to I••••• F•••••••• C•••••••••left Sep 11, 2009, registered Sep 22, 2009 (11 days) · Other
- M••••• S•••••• D• I••• to C••• F•••••••• S•••••••• L•••left Jan 3, 2005, registered May 8, 2006 (490 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
- 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