DFX Intelligence
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Registered advisor
T••• R••••••••
Feed of 09/14/2026
Also filed as T••• S••••••••• E• S••••••••• E•••••••• S••••••••• S••••••••• E•••••••• R••••••••• E• R••••••••• R••••••••
At current firm
1 y
since Mar 31, 2025
In the industry
22 y
since Jan 13, 2004 (earliest exam, job or registration)
Prior registered firms
6
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
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Mahwah, Nj
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2021 to Mar 31, 2025 · Paramus, Nj
- A••••• A•• P••••••• S••••••• BD affiliatedAug 17, 2010 to Nov 13, 2020 · Roseland, Nj
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedDec 11, 2008 to Apr 29, 2010 · Asheville, Nc
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedAug 4, 2006 to Aug 12, 2008 · Boston, Ma
- M•• S••••••••• I••• unclassifiedJul 8, 2004 to Jun 27, 2006 · Potomac, Md
All 6 prior registrationsShow fewer
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 14, 2004 to Mar 15, 2004 · Baltimore, Md
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- A••••• A•• P••••••• S••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Nov 13, 2020, registered Jul 13, 2021 (242 days) · Affiliated broker-dealer or bank to another · moved with a team
- U•••• F•••••••• S••••••• G••••• I••• to A••••• A•• P••••••• S•••••••left Apr 29, 2010, registered Aug 17, 2010 (110 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to U•••• F•••••••• S••••••• G••••• I•••left Aug 12, 2008, registered Dec 11, 2008 (121 days) · Other
- M•• S••••••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Jun 27, 2006, registered Aug 4, 2006 (38 days) · Other
All 6 movesShow fewer
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M•• S••••••••• I•••left Mar 15, 2004, registered Jul 8, 2004 (115 days) · Other
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
- National broker-dealer RIAderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address