DFX Intelligence
RIA Intelligence
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Registered advisor
M••• A•••••• R•••
Feed of 09/14/2026
At current firm
15 y
since Aug 1, 2011
In the industry
19 y
since Oct 11, 2006 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
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
- C••••••••• F•••••••• N•••••• national BD currentsince Aug 1, 2011 · Lancaster, Pa
- S•••••• W•••• W••••• A••••••• unclassifiedAug 12, 2011 to Dec 31, 2016 · Lancaster, Pa
- T• A••••••••• I••••••••• M••••••••• L•• formerOct 12, 2006 to Aug 2, 2011 · Lemoyne, Pa
- T• A••••••••• I••• formerOct 12, 2006 to Aug 2, 2011 · Harrisburg, Pa
Moves
a registration end followed by a registration begin elsewhere
- S•••••• W•••• W••••• A••••••• to no registered destinationleft Dec 31, 2016 · Departure, no registered destination
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Aug 2, 2011, registered Oct 12, 2006 (-1755 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Aug 2, 2011, registered Oct 12, 2006 (-1755 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
- National broker-dealer RIAderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address