DFX Intelligence
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Registered advisor
R•••••• A• S••••
Feed of 09/14/2026
Also filed as R•••••• A. S••••
At current firm
3 y
since Sep 1, 2023
In the industry
24 y
since Jul 31, 2002 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- O•••• W•••••• I••• BD affiliated currentsince Sep 1, 2023 · Syracuse, Ny
- S•••••••• F••••••••• I••• formerSep 28, 2020 to Sep 1, 2023 · Syracuse, Ny
- M•• S••••••••• I••• unclassifiedMar 7, 2012 to Oct 2, 2020 · Syracuse, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 8, 2011 to Feb 22, 2012 · Syracuse, Ny
- S••••••• I••••••••• S•••••••• I••• formerSep 11, 2007 to Jul 7, 2009 · Pembroke Pines, Fl
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 20, 2004 to Apr 19, 2007 · Central Square, Ny
- Q•••• • R•••••• I••• unclassifiedDec 18, 2003 to Oct 20, 2004 · Albany, Ny
Moves
a registration end followed by a registration begin elsewhere
- S•••••••• F••••••••• I••• to O•••• W•••••• I•••left Sep 1, 2023, registered Sep 1, 2023 (0 days) · corporate re-registration, not a move
- M•• S••••••••• I••• to S•••••••• F••••••••• I•••left Oct 2, 2020, registered Sep 28, 2020 (-4 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M•• S••••••••• I•••left Feb 22, 2012, registered Mar 7, 2012 (14 days) · Other
- S••••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 7, 2009, registered Jun 8, 2011 (701 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to S••••••• I••••••••• S•••••••• I•••left Apr 19, 2007, registered Sep 11, 2007 (145 days) · Other
- Q•••• • R•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Oct 20, 2004, registered Oct 20, 2004 (0 days) · corporate re-registration, not a move
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