DFX Intelligence
RIA Intelligence
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Registered advisor
S•••• B•••••• C••••••
Feed of 09/14/2026
At current firm
6 y
since Oct 7, 2019
In the industry
19 y
since Jul 19, 2007 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
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
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Oct 7, 2019 · Canonsburg, Pa
- F•• S••••••••• C••••••••• formerMay 2, 2016 to Oct 11, 2019 · Sewickley, Pa
- C••••• A•••••• N••••••• L•• formerAug 1, 2007 to May 4, 2016 · Sewickley, Pa
Moves
a registration end followed by a registration begin elsewhere
- F•• S••••••••• C••••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Oct 11, 2019, registered Oct 7, 2019 (-4 days) · corporate re-registration, not a move
- C••••• A•••••• N••••••• L•• to F•• S••••••••• C•••••••••left May 4, 2016, registered May 2, 2016 (-2 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address