DFX Intelligence
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Registered advisor
A•••• W••••
Feed of 09/14/2026
At current firm
1 y
since Jan 7, 2025
In the industry
19 y
since Oct 31, 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, S66
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••• A••••• S••••••••• L•• BD affiliated currentsince Jan 7, 2025 · Bethlehem, Pa
- W•••• F•••• A••••••• wirehouseJul 27, 2021 to Sep 25, 2023 · Paramus, Nj
- F••••••• P••••••• A•• W•••••••• A••••••• formerApr 23, 2021 to Jun 3, 2021 · Wayne, Nj
- W•••• F•••• A••••••• wirehouseAug 28, 2017 to Oct 29, 2019 · St. Louis, Mo
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 5, 2009 to Jul 29, 2016 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to P••• A••••• S••••••••• L••left Sep 25, 2023, registered Jan 7, 2025 (470 days) · Wirehouse to affiliated broker-dealer or bank
- F••••••• P••••••• A•• W•••••••• A••••••• to W•••• F•••• A•••••••left Jun 3, 2021, registered Jul 27, 2021 (54 days) · Affiliated broker-dealer or bank to wirehouse
- W•••• F•••• A••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Oct 29, 2019, registered Apr 23, 2021 (542 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Jul 29, 2016, registered Aug 28, 2017 (395 days) · Wirehouse to wirehouse · moved with a team
Signals
- ••• LockedSep 25, 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address