DFX Intelligence
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Registered advisor
S•••••• M•••••• B•••••
Feed of 09/15/2026
At current firm
6 y
since Sep 27, 2019
In the industry
17 y
since May 1, 2009 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- R•• C•••••• M••••••• L•• national BD currentsince Sep 27, 2019 · Wellesley Hills, Ma
- W•••• F•••• A••••••• wirehouseJun 7, 2010 to May 28, 2019 · Wellesley, Ma
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to R•• C•••••• M••••••• L••left May 28, 2019, registered Sep 27, 2019 (122 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address