DFX Intelligence
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Feed of 09/15/2026
At current firm
0 y
since Feb 2, 2026
In the industry
20 y
since Jun 1, 2006 (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
S65, 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
- S•••• independent RIA currentsince Feb 2, 2026 · New York, Ny
- C••••••••• F•••••••• N•••••• national BDFeb 28, 2023 to Jul 10, 2025 · Zion, Il
Moves
a registration end followed by a registration begin elsewhere
- C••••••••• F•••••••• N•••••• to S••••left Jul 10, 2025, registered Feb 2, 2026 (207 days) · Affiliated broker-dealer or bank to independent RIA
Signals
- ••• LockedJul 10, 2025 · 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
- Independent wealth managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address