DFX Intelligence
RIA Intelligence
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Registered advisor
C•••••• T••• N•••••
Feed of 09/15/2026
At current firm
6 y
since Jun 12, 2020
In the industry
24 y
since Aug 2, 2002 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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 Jun 12, 2020 · Boston, Ma
- N•• E•••••• S••••••••• C••••••••• formerJan 5, 2006 to Mar 2, 2010 · Wellesley, Ma
- C••••••• S••••••••• I••• BD affiliatedSep 9, 2005 to Nov 28, 2005 · Needham, Ma
Moves
a registration end followed by a registration begin elsewhere
- N•• E•••••• S••••••••• C••••••••• to M•• I•••••••• S•••••••• L••left Mar 2, 2010, registered Jun 12, 2020 (3755 days) · Other
- C••••••• S••••••••• I••• to N•• E•••••• S••••••••• C•••••••••left Nov 28, 2005, registered Jan 5, 2006 (38 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