DFX Intelligence
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Registered advisor
S••••• A•• B•••••
Feed of 09/15/2026
Also filed as S••••• A•• G•••••
At current firm
12 y
since Jan 21, 2014
In the industry
22 y
since Apr 13, 2004 (earliest exam, job or registration)
Prior registered firms
2
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••••• I••••••••• A••••••• L•• BD affiliated currentsince Jan 21, 2014 · South Portland, Me
- T• W••••• M••••••••• S••••••• I••• unclassifiedNov 17, 2009 to Feb 18, 2010 · South Portland, Me
- C••••• I••••••••• S••••••• L•• formerJul 3, 2007 to Nov 17, 2009 · Portland, Me
Moves
a registration end followed by a registration begin elsewhere
- T• W••••• M••••••••• S••••••• I••• to C••••• I••••••••• A••••••• L••left Feb 18, 2010, registered Jan 21, 2014 (1433 days) · Other
- C••••• I••••••••• S••••••• L•• to T• W••••• M••••••••• S••••••• I•••left Nov 17, 2009, registered Nov 17, 2009 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address