DFX Intelligence
RIA Intelligence
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Registered advisor
S•••• R•••••• S••••••
Feed of 09/15/2026
At current firm
8 y
since Jul 2, 2018
In the industry
18 y
since Feb 6, 2008 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
3
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
- P•••••• A•••••• G••••• L•• BD affiliated currentsince Jul 2, 2018 · Morristown, Nj
- M••••• O• O•••• I••••••• S•••••••• I••• independent RIAJan 11, 2011 to Dec 17, 2015 · Syracuse, Ny
Moves
a registration end followed by a registration begin elsewhere
- M••••• O• O•••• I••••••• S•••••••• I••• to P•••••• A•••••• G••••• L••left Dec 17, 2015, registered Jul 2, 2018 (928 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address