DFX Intelligence
RIA Intelligence
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Registered advisor
R•••• V•••
Feed of 09/14/2026
At current firm
1 y
since Jan 3, 2025
In the industry
20 y
since May 19, 2006 (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, S65, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- J••• M••••• S••••••••• L•• wirehouse currentsince Jan 3, 2025 · Washington, Dc
- P•• W••••• M••••••••• BD affiliatedDec 2, 2014 to Dec 6, 2018 · Mclean, Va
- B••• I••••••••• S•••••••• I••• formerJul 17, 2007 to Aug 14, 2013 · Fredericksburg, Va
Moves
a registration end followed by a registration begin elsewhere
- P•• W••••• M••••••••• to J••• M••••• S••••••••• L••left Dec 6, 2018, registered Jan 3, 2025 (2220 days) · Affiliated broker-dealer or bank to wirehouse
- B••• I••••••••• S•••••••• I••• to P•• W••••• M•••••••••left Aug 14, 2013, registered Dec 2, 2014 (475 days) · Other
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
- Wirehousederived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address