DFX Intelligence
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Registered advisor
S••••• A• S•••••
Feed of 09/14/2026
Also filed as S••••• A• S••••••••• A••••• S••••••••• A• S••••••••• S•••••
At current firm
3 y
since Jul 14, 2023
In the industry
24 y
since Apr 4, 2002 (earliest exam, job or registration)
Prior registered firms
4
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- R•• C•••••• M••••••• L•• national BD currentsince Jul 14, 2023 · Williamsville, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 2, 2019 to Jul 19, 2023 · Buffalo, Ny
- W•••• F•••• A••••••• wirehouseMay 22, 2015 to May 3, 2019 · Williamsville, Ny
- M••••• S•••••• wirehouseMar 15, 2010 to May 28, 2015 · Williamsville, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 11, 2005 to Feb 6, 2009 · Buffalo, Ny
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•• C•••••• M••••••• L••left Jul 19, 2023, registered Jul 14, 2023 (-5 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 3, 2019, registered May 2, 2019 (-1 days) · Wirehouse to wirehouse
- M••••• S•••••• to W•••• F•••• A•••••••left May 28, 2015, registered May 22, 2015 (-6 days) · Wirehouse to wirehouse · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Feb 6, 2009, registered Mar 15, 2010 (402 days) · Wirehouse to wirehouse
Signals
- ••• LockedJul 19, 2023 · 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
- 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