DFX Intelligence
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Registered advisor
L•••• S••••• F•••
Feed of 09/14/2026
Also filed as L•••• S••••• F••••••••• S• F•••
At current firm
3 y
since Feb 15, 2023
In the industry
20 y
since Nov 28, 2005 (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
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
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Feb 15, 2023 · New York, Ny
- C•••••••• G••••• M•••••• I••• BD affiliatedMar 2, 2012 to Apr 23, 2013 · Freeport, Ny
- H••• S••••••••• •••• I••• BD affiliatedOct 1, 2008 to Jan 11, 2011 · New York, Ny
- W•••• F•••• A••••••• wirehouseMar 28, 2007 to May 17, 2007 · Hartsdale, Ny
- A••••••••• F•••••••• S•••••••• L•• national BDNov 28, 2005 to Mar 16, 2006 · Kew Gardens, Ny
Moves
a registration end followed by a registration begin elsewhere
- C•••••••• G••••• M•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 23, 2013, registered Feb 15, 2023 (3585 days) · Other
- H••• S••••••••• •••• I••• to C•••••••• G••••• M•••••• I•••left Jan 11, 2011, registered Mar 2, 2012 (416 days) · Other
- W•••• F•••• A••••••• to H••• S••••••••• •••• I•••left May 17, 2007, registered Oct 1, 2008 (503 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to W•••• F•••• A•••••••left Mar 16, 2006, registered Mar 28, 2007 (377 days) · Affiliated broker-dealer or bank to wirehouse
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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address