DFX Intelligence
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Registered advisor
O••• R•••••
Feed of 09/14/2026
Also filed as O••• S•••• R•••••
At current firm
1 y
since Jan 10, 2025
In the industry
18 y
since Oct 19, 2007 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
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 Jan 10, 2025 · Newtown Square, Pa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 19, 2011 to Jan 24, 2025 · Pennington, Nj
- E•••••••• A•••••••• L•• national BDAug 16, 2010 to Jan 20, 2011 · Bala Cynwyd, Pa
- E•• F•••••••• A••••••• independent RIAApr 16, 2009 to Sep 30, 2009 · Media, Pa
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Jan 24, 2025, registered Jan 10, 2025 (-14 days) · Wirehouse to wirehouse · moved with a team
- E•••••••• A•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 20, 2011, registered May 19, 2011 (119 days) · Affiliated broker-dealer or bank to wirehouse
- E•• F•••••••• A••••••• to E•••••••• A•••••••• L••left Sep 30, 2009, registered Aug 16, 2010 (320 days) · Other
Signals
- O••• R••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for W•••• F•••• A••••••• (registered 2025-01-10)Jan 24, 2025 · 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
- Wirehousederived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address