DFX Intelligence
RIA Intelligence
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Registered advisor
A••••• S•••••
Feed of 09/14/2026
At current firm
11 y
since May 18, 2015
In the industry
22 y
since Sep 22, 2004 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
5
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
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•• wirehouse currentsince May 18, 2015 · White Plains, Ny
- B••••••• C•••••• I••• formerApr 8, 2013 to Jun 11, 2015 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- B••••••• C•••••• I••• to J••• M••••• S••••••••• L••left Jun 11, 2015, registered May 18, 2015 (-24 days) · Other · moved with a team
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
- Wirehousederived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address