DFX Intelligence
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Registered advisor
P•••• A•••••• S•••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as P•••• A• S••••••••• A•••••• S•••••
At current firm
3 y
since Oct 27, 2022
In the industry
19 y
since Jan 30, 2007 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
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
- W•••• F•••• A••••••• wirehouse currentsince Oct 27, 2022 · Florham Park, Nj
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Nov 2, 2022 · Boston, Ma
- S•••••••• A••••••• L•• national BDNov 20, 2013 to Jul 13, 2018 · Millburn, Nj
- W•••• F•••• A••••••• wirehouseJun 12, 2009 to Oct 1, 2013 · Florham Park, Nj
- U•• F•••••••• S••••••• I••• wirehouseMar 2, 2007 to Feb 11, 2009 · Florham Park, Nj
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 7, 2007 to Mar 6, 2007 · Florham Park, Nj
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to W•••• F•••• A•••••••left Nov 2, 2022, registered Oct 27, 2022 (-6 days) · Affiliated broker-dealer or bank to wirehouse
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to S•••••••• A••••••• L••left Oct 1, 2013, registered Nov 20, 2013 (50 days) · Wirehouse to affiliated broker-dealer or bank
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Feb 11, 2009, registered Jun 12, 2009 (121 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to U•• F•••••••• S••••••• I•••left Mar 6, 2007, registered Mar 2, 2007 (-4 days) · Other
Signals
- ••• LockedNov 2, 2022 · Advisor changed firm · fact
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address