DFX Intelligence
RIA Intelligence
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Registered advisor
A•••• S•••••• M•••••
Feed of 09/14/2026
At current firm
3 y
since Aug 11, 2023
In the industry
31 y
since Jun 1, 1995 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
2
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
- L•• F•••••••• L•• BD affiliated currentsince Aug 11, 2023 · Shrewsbury, Ma
- C••••••••• F•••••••• N•••••• national BDApr 7, 2014 to Aug 14, 2023 · Northborough, Ma
Moves
a registration end followed by a registration begin elsewhere
- C••••••••• F•••••••• N•••••• to L•• F•••••••• L••left Aug 14, 2023, registered Aug 11, 2023 (-3 days) · Affiliated broker-dealer or bank to another · moved with a team
Signals
- A•••• S•••••• M••••• left C••••••••• F•••••••• N•••••• for L•• F•••••••• L•• (registered 2023-08-11)Aug 14, 2023 · 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address