DFX Intelligence
RIA Intelligence
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Registered advisor
N••••• W••• S••••
Certified Financial Planner
Feed of 09/15/2026
Also filed as N••••• S••••
At current firm
4 y
since May 12, 2022
In the industry
23 y
since Sep 12, 2003 (earliest exam, job or registration)
Prior registered firms
3
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince May 12, 2022 · San Diego, Ca
- E•••••• F•••••••• E•••••• independent RIAOct 12, 2018 to Jun 10, 2022 · Cherry Hill, Nj
- E•••••• F•••••••• S•••••••• L•• formerFeb 1, 2010 to Nov 1, 2018 · Fairfax, Va
- S•••••••• A••••••• L•• national BDJan 4, 2004 to Jan 6, 2010 · Reston, Va
Moves
a registration end followed by a registration begin elsewhere
- E•••••• F•••••••• E•••••• to L•• F•••••••• L••left Jun 10, 2022, registered May 12, 2022 (-29 days) · RIA to RIA
- E•••••• F•••••••• S•••••••• L•• to E•••••• F•••••••• E••••••left Nov 1, 2018, registered Oct 12, 2018 (-20 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to E•••••• F•••••••• S•••••••• L••left Jan 6, 2010, registered Feb 1, 2010 (26 days) · Other
Signals
- N••••• W••• S•••• left E•••••• F•••••••• E•••••• for L•• F•••••••• L•• (registered 2022-05-12)Jun 10, 2022 · Advisor changed firm · fact
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