DFX Intelligence
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Registered advisor
W•••••• F••••••
Feed of 09/14/2026
Also filed as B•••• F••••••••• F••••••••• C• F••••••••• C• F••••••••• C•••••• F••••••
At current firm
1 y
since Mar 31, 2025
In the industry
20 y
since Dec 8, 2005 (earliest exam, job or registration)
Prior registered firms
5
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
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Ashburn, Va
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Mar 31, 2025 · Boston, Ma
- S•••••••• A••••••• L•• national BDFeb 5, 2013 to Jul 13, 2018 · Reston, Va
- P•••• S••••••••• L•• no RAUMFeb 18, 2010 to Jan 14, 2013 · Chantilly, Va
- V•••• F•••••••• A•••••••• I••• BD affiliatedOct 19, 2006 to Dec 1, 2009 · Norfolk, Va
- C•••••••• G••••• M•••••• I••• BD affiliatedDec 12, 2005 to Oct 30, 2006 · Mclean, Va
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- P•••• S••••••••• L•• to S•••••••• A••••••• L••left Jan 14, 2013, registered Feb 5, 2013 (22 days) · Other
- V•••• F•••••••• A•••••••• I••• to P•••• S••••••••• L••left Dec 1, 2009, registered Feb 18, 2010 (79 days) · Other
- C•••••••• G••••• M•••••• I••• to V•••• F•••••••• A•••••••• I•••left Oct 30, 2006, registered Oct 19, 2006 (-11 days) · Other
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
- National broker-dealer RIAderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address