DFX Intelligence
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Registered advisor
D••••• W••••••
Chartered Financial Consultant
Feed of 09/15/2026
Also filed as D••••• U• W••••••••• U• W••••••••• U••••• W••••••
At current firm
2 y
since Dec 22, 2023
In the industry
20 y
since Feb 10, 2006 (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, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- P•• W••••• M••••••••• BD affiliated currentsince Dec 22, 2023 · Glen Ridge, Nj
- M••••• S•••••• wirehouseJul 8, 2016 to Dec 5, 2023 · New York, Ny
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Jul 19, 2016 · New York, Ny
- C•••• I••••••••• S••••••• C•••• formerNov 23, 2011 to Oct 1, 2012 · New York, Ny
- N••••••••• M••••• I••••••••• S••••••••• no RAUMFeb 27, 2008 to Oct 27, 2011 · Pittsburgh, Pa
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to P•• W••••• M•••••••••left Dec 5, 2023, registered Dec 22, 2023 (17 days) · Wirehouse to affiliated broker-dealer or bank
- J••• M••••• S••••••••• L•• to M••••• S••••••left Jul 19, 2016, registered Jul 8, 2016 (-11 days) · Wirehouse to wirehouse
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- N••••••••• M••••• I••••••••• S••••••••• to C•••• I••••••••• S••••••• C••••left Oct 27, 2011, registered Nov 23, 2011 (27 days) · Other
Signals
- ••• LockedDec 5, 2023 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address