DFX Intelligence
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Registered advisor
R•••••• B• S•••••••
Feed of 09/14/2026
Also filed as R•••••• B• S•••••••
At current firm
20 y
since Jun 21, 2006
In the industry
23 y
since Dec 19, 2002 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
2
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
- G•••••• S•••• W••••• S•••••••• L••• BD affiliated currentsince Jun 21, 2006 · Deerfield, Il
- N•• E•••••• S••••••••• C••••••••• formerFeb 4, 2003 to Jan 10, 2006 · Northbrook, Il
Moves
a registration end followed by a registration begin elsewhere
- N•• E•••••• S••••••••• C••••••••• to G•••••• S•••• W••••• S•••••••• L•••left Jan 10, 2006, registered Jun 21, 2006 (162 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address