DFX Intelligence
RIA Intelligence
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Registered advisor
G•••••• R••••• S••••
Feed of 09/14/2026
At current firm
4 y
since Apr 21, 2022
In the industry
21 y
since Jul 20, 2005 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
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•••••••• A•••••••• L•• BD affiliated currentsince Apr 21, 2022 · Albany, Ny
- L•• F•••••••• L•• BD affiliatedAug 3, 2021 to Jan 13, 2022 · Schenectady, Ny
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to A••••••• F•••••••• A•••••••• L••left Jan 13, 2022, registered Apr 21, 2022 (98 days) · Affiliated broker-dealer or bank to another
Signals
- G•••••• R••••• S•••• left L•• F•••••••• L•• for A••••••• F•••••••• A•••••••• L•• (registered 2022-04-21)Jan 13, 2022 · Advisor changed firm · fact
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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address