DFX Intelligence
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Registered advisor
W•••••• R• D•••••
Feed of 09/15/2026
Also filed as W•••••• R•••••• D•••••
At current firm
3 y
since Nov 29, 2022
In the industry
19 y
since Oct 16, 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
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
- L•• F•••••••• L•• BD affiliated currentsince Nov 29, 2022 · South Burlington, Vt
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 14, 2021 to Nov 29, 2022 · Burlington, Vt
- C••••••• S••••••••• I••• BD affiliatedJan 23, 2018 to Jan 13, 2021 · Burlington, Vt
- K•• I••••••••• S••••••• L•• BD affiliatedJun 2, 2016 to Jan 5, 2018 · Portland, Me
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••left Nov 29, 2022, registered Nov 29, 2022 (0 days) · Wirehouse to independent RIA
- C••••••• S••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 13, 2021, registered Jan 14, 2021 (1 days) · Affiliated broker-dealer or bank to wirehouse
- K•• I••••••••• S••••••• L•• to C••••••• S••••••••• I•••left Jan 5, 2018, registered Jan 23, 2018 (18 days) · Affiliated broker-dealer or bank to another
Signals
- W•••••• R• D••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for L•• F•••••••• L•• (registered 2022-11-29)Nov 29, 2022 · 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