DFX Intelligence
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I•• I••••• R•••••
Registered advisorat H••••• • C•••••• W••••• M••••••••• L••Dual registrant· New York City, NyIAPD 4685804
Certified Financial Planner
As of · the IAPD feed
- At current firm
- 5 y
- In the industry
- 22 y
- Prior registered firms
- 1
- Signals
- 0
since Mar 10, 2021
As of · the IAPD feed
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Registration history
IAPD current and previous registrations
- H••••• • C•••••• W••••• M••••••••• L•• independent RIA currentsince Mar 10, 2021 · New York City, Ny
- E•••••••• A•••••••• L•• national BDFeb 20, 2004 to May 27, 2009 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- E•••••••• A•••••••• L•• to H••••• • C•••••• W••••• M••••••••• L••left May 27, 2009, registered Mar 10, 2021 (4305 days) · Affiliated broker-dealer or bank to independent RIA
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Independent wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, the raw outside business text and any address in it, personal outside activities, branch street addressoutside businesses appear above as structured facts, reviewed, with a short quote