DFX Intelligence
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Registered advisor
S•••• B•••••• W•••••
Feed of 09/15/2026
At current firm
9 y
since Oct 25, 2016
In the industry
22 y
since Jun 23, 2004 (earliest exam, job or registration)
Prior registered firms
8
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• national BD currentsince Oct 25, 2016 · Purcellville, Va
- T• A••••••••• I••• formerMar 14, 2022 to Oct 14, 2022 · Reston, Va
- A••••••••• F•••••••• S•••••••• L•• national BDNov 10, 2014 to Sep 30, 2016 · Vienna, Va
- W•••••• • R••• formerAug 3, 2012 to Nov 19, 2014 · Vienna, Va
- M••••• S•••••• wirehouseJun 1, 2009 to Aug 8, 2012 · Mount Laurel, Nj
- C•••••••• G••••• M•••••• I••• BD affiliatedOct 17, 2008 to Jun 1, 2009 · Mt. Laurel, Nj
- U•• F•••••••• S••••••• I••• wirehouseNov 7, 2006 to Oct 24, 2008 · Mt. Laurel, Nj
- R••••••••• A•••• M••••••••• I••• unclassifiedSep 13, 2006 to Oct 6, 2006 · Radnor, Pa
- C•••••••• G••••• M•••••• I••• BD affiliatedJun 28, 2004 to Jul 21, 2006 · Mount Laurel, Nj
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••• to no registered destinationleft Oct 14, 2022 · Departure, no registered destination
- A••••••••• F•••••••• S•••••••• L•• to C•••••• S••••• • C••• I•••left Sep 30, 2016, registered Oct 25, 2016 (25 days) · Affiliated broker-dealer or bank to another
- W•••••• • R••• to A••••••••• F•••••••• S•••••••• L••left Nov 19, 2014, registered Nov 10, 2014 (-9 days) · Other
- M••••• S•••••• to W•••••• • R•••left Aug 8, 2012, registered Aug 3, 2012 (-5 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
- U•• F•••••••• S••••••• I••• to C•••••••• G••••• M•••••• I•••left Oct 24, 2008, registered Oct 17, 2008 (-7 days) · Other
- R••••••••• A•••• M••••••••• I••• to U•• F•••••••• S••••••• I•••left Oct 6, 2006, registered Nov 7, 2006 (32 days) · Other
- C•••••••• G••••• M•••••• I••• to R••••••••• A•••• M••••••••• I•••left Jul 21, 2006, registered Sep 13, 2006 (54 days) · Other
Signals
- ••• LockedOct 14, 2022 · Advisor departure · fact
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
- 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