DFX Intelligence
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Registered advisor
D•••• R•••
Feed of 09/14/2026
Also filed as D•••• A•••• R•••
At current firm
1 y
since Mar 31, 2025
In the industry
23 y
since Jun 2, 2003 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
4
current, as an IAR
Firms today
1
current registrations
Exams
S63, 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
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Clarksville, Md
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Mar 31, 2025 · Boston, Ma
- S•••••••• A••••••• L•• national BDDec 14, 2010 to Jul 13, 2018 · Washington, Dc
- C•••••••• F•••••••• G•••• A••••••• formerJun 23, 2010 to Nov 8, 2010 · Calverton, Md
- M•• F•••••••• S•••••••• I••• formerFeb 4, 2009 to Mar 30, 2010 · Elkridge, Md
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 21, 2006 to Dec 18, 2008 · Baltimore, Md
- L••• M•••• W••• W•••••• I••••••••• unclassifiedOct 20, 2004 to Feb 21, 2006 · Baltimore, Md
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- C•••••••• F•••••••• G•••• A••••••• to S•••••••• A••••••• L••left Nov 8, 2010, registered Dec 14, 2010 (36 days) · Other
- M•• F•••••••• S•••••••• I••• to C•••••••• F•••••••• G•••• A•••••••left Mar 30, 2010, registered Jun 23, 2010 (85 days) · Other
- C•••••••• G••••• M•••••• I••• to M•• F•••••••• S•••••••• I•••left Dec 18, 2008, registered Feb 4, 2009 (48 days) · Other
- L••• M•••• W••• W•••••• I••••••••• to C•••••••• G••••• M•••••• I•••left Feb 21, 2006, registered Feb 21, 2006 (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
- National broker-dealer RIAderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address