DFX Intelligence
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Registered advisor
N••••••• S•••••••• B••••
Feed of 09/15/2026
Also filed as N••• S•••••••• B••••
At current firm
3 y
since Sep 26, 2022
In the industry
21 y
since Feb 28, 2005 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S63, 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
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Sep 26, 2022 · Philadelphia, Pa
- M•• I•••••••• S•••••••• L•• BD affiliatedAug 17, 2021 to Feb 22, 2022 · Radnor, Pa
- A••••••••• F•••••••• S•••••••• L•• national BDMar 27, 2012 to Jul 26, 2021 · Manchester, Ct
Moves
a registration end followed by a registration begin elsewhere
- M•• I•••••••• S•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Feb 22, 2022, registered Sep 26, 2022 (216 days) · Affiliated broker-dealer or bank to another
- A••••••••• F•••••••• S•••••••• L•• to M•• I•••••••• S•••••••• L••left Jul 26, 2021, registered Aug 17, 2021 (22 days) · Affiliated broker-dealer or bank to another
Signals
- ••• LockedFeb 22, 2022 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address