DFX Intelligence
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Registered advisor
N•••• A•• P•••••••••
Feed of 09/14/2026
At current firm
3 y
since Oct 14, 2022
In the industry
22 y
since Feb 27, 2004 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- U•• F•••••••• S••••••• I••• wirehouse currentsince Oct 14, 2022 · Providence, Ri
- M••••• S•••••• wirehouseJun 1, 2009 to Oct 28, 2022 · Providence, Ri
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Providence, Ri
- M••••• S•••••• D• I••• unclassifiedFeb 9, 2007 to Apr 2, 2007 · Providence, Ri
- C•••••••• G••••• M•••••• I••• BD affiliatedMar 15, 2004 to Feb 20, 2007 · Providence, Ri
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to U•• F•••••••• S••••••• I•••left Oct 28, 2022, registered Oct 14, 2022 (-14 days) · Wirehouse to wirehouse · moved with a team
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- C•••••••• G••••• M•••••• I••• to M••••• S•••••• D• I•••left Feb 20, 2007, registered Feb 9, 2007 (-11 days) · Other
Signals
- ••• LockedOct 28, 2022 · Advisor changed firm · fact
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
- Wirehousederived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address