DFX Intelligence
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Registered advisor
B•••••• P•••••• F•••••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as B•••••• F••••••••• P•••••• F••••••••• P•••••• F••••
At current firm
9 y
since Sep 6, 2017
In the industry
22 y
since Jul 21, 2004 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
3
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
- J••••• M••••••••• S•••• L•• BD affiliated currentsince Sep 6, 2017 · Warwick, Ri
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Sep 7, 2017 · Providence, Ri
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedFeb 17, 2006 to Oct 23, 2009 · Warwick, Ri
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 23, 2004 to Feb 22, 2006 · Providence, Ri
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••••• M••••••••• S•••• L••left Sep 7, 2017, registered Sep 6, 2017 (-1 days) · Other · moved with a team
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Feb 22, 2006, registered Feb 17, 2006 (-5 days) · Other
Signals
No dated event on this person.
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
- 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