DFX Intelligence
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Registered advisor
D••••• F•••••• C•••••
Chartered Financial Consultant
Feed of 09/14/2026
At current firm
0 y
since Jan 1, 2026
In the industry
55 y
since Jan 1, 1971 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Jan 1, 2026 · North Providence, Ri
- O•••• W•••••• I••• BD affiliatedSep 1, 2023 to Dec 12, 2023 · Johnston, Ri
- S•••••••• F••••••••• I••• formerNov 1, 2005 to Sep 1, 2023 · Scottsdale, Az
- M••••• S•••••• C••••••••• unclassifiedJan 24, 2003 to Dec 21, 2005 · Johnston, Ri
- E•••••• P•••• A••••••• I••• unclassifiedMar 16, 2002 to Dec 31, 2002 · Johnston, Ri
Moves
a registration end followed by a registration begin elsewhere
- O•••• W•••••• I••• to L•• F•••••••• L••left Dec 12, 2023, registered Jan 1, 2026 (751 days) · Affiliated broker-dealer or bank to another · moved with a team
- S•••••••• F••••••••• I••• to O•••• W•••••• I•••left Sep 1, 2023, registered Sep 1, 2023 (0 days) · corporate re-registration, not a move
- M••••• S•••••• C••••••••• to S•••••••• F••••••••• I•••left Dec 21, 2005, registered Nov 1, 2005 (-50 days) · Other
- E•••••• P•••• A••••••• I••• to M••••• S•••••• C•••••••••left Dec 31, 2002, registered Jan 24, 2003 (24 days) · Other
Signals
- ••• LockedDec 12, 2023 · Advisor changed firm · fact
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 55derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address