DFX Intelligence
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Registered advisor
W•••••• S•••••••••
Chartered Financial Analyst
Feed of 09/14/2026
Also filed as W•••••• R• S••••••••• S••••••••• •••••• S••••••••• B•••• S•••••••••
At current firm
5 y
since Mar 4, 2021
In the industry
18 y
since Nov 15, 2007 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Mar 4, 2021 · Huntington, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 3, 2017 to Mar 8, 2021 · New York, Ny
- G•••••• S•••• W••••• S•••••••• L••• BD affiliatedFeb 18, 2015 to Feb 27, 2017 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••left Mar 8, 2021, registered Mar 4, 2021 (-4 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- G•••••• S•••• W••••• S•••••••• L••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 27, 2017, registered Apr 3, 2017 (35 days) · Other · moved with a team
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address