DFX Intelligence
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Registered advisor
F•••• B••••••• L••••••
Feed of 09/15/2026
Also filed as F•••• L••••••••• L••••••••• B••••••••• L••••••••• B••••••• L••••••••• B••••••• L••••••
At current firm
5 y
since Mar 24, 2021
In the industry
22 y
since Apr 23, 2004 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
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•••••• S••••• • C••• I••• national BD currentsince Mar 24, 2021 · Lone Tree, Co
- T• A••••••••• I••••••••• M••••••••• L•• formerApr 10, 2014 to Dec 10, 2018 · Jersey City, Nj
- T• A••••••••• I••• formerApr 8, 2014 to Jul 7, 2021 · Jersey City, Nj
- M••••• S•••••• wirehouseMar 28, 2013 to Apr 24, 2014 · New York, Ny
- M••••• S•••••• wirehouseJun 1, 2009 to Sep 21, 2012 · Purchase, Ny
- C•••••••• G••••• M•••••• I••• BD affiliatedMar 20, 2008 to Jun 1, 2009 · Warren, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 29, 2005 to Aug 9, 2007 · Pennington, Nj
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jul 7, 2021, registered Apr 10, 2014 (-2645 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Dec 10, 2018, registered Mar 24, 2021 (835 days) · RIA to affiliated broker-dealer or bank
- M••••• S•••••• to T• A••••••••• I•••left Apr 24, 2014, registered Apr 8, 2014 (-16 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• G••••• M•••••• I•••left Aug 9, 2007, registered Mar 20, 2008 (224 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