DFX Intelligence
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Registered advisor
C••• A••• W•••••
Feed of 09/14/2026
At current firm
9 y
since Mar 25, 2017
In the industry
24 y
since Jul 25, 2002 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Mar 25, 2017 · Orlando, Fl
- M•• F•••••••• S•••••••• I••• formerApr 23, 2009 to Mar 25, 2017 · Staten Island, Ny
- A••••••••• L••• otherDec 16, 2003 to Oct 21, 2008 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- A••••••••• L••• to M•• F•••••••• S•••••••• I•••left Oct 21, 2008, registered Apr 23, 2009 (184 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