DFX Intelligence
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Registered advisor
S••••• B• L•••••
Feed of 09/15/2026
Also filed as S••••• B• A•••••
At current firm
10 y
since Nov 23, 2015
In the industry
22 y
since Jun 12, 2004 (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
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
- P••• A••••• S••••••••• L•• BD affiliated currentsince Nov 23, 2015 · New York, Ny
- M•• F•••••••• S•••••••• I••• formerMay 12, 2011 to Oct 1, 2014 · Springfield, Ma
- N••••••••• M••••• I••••••••• S••••••••• no RAUMJul 12, 2006 to Jul 16, 2009 · Summit, Nj
Moves
a registration end followed by a registration begin elsewhere
- M•• F•••••••• S•••••••• I••• to P••• A••••• S••••••••• L••left Oct 1, 2014, registered Nov 23, 2015 (418 days) · Other
- N••••••••• M••••• I••••••••• S••••••••• to M•• F•••••••• S•••••••• I•••left Jul 16, 2009, registered May 12, 2011 (665 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address