DFX Intelligence
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Registered advisor
T••• C••••••••• R•••
Certified Financial Planner · Chartered Financial Consultant
Feed of 09/15/2026
Also filed as T••• R•••
At current firm
9 y
since Aug 30, 2017
In the industry
19 y
since Apr 1, 2007 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
4
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
- S•••••• P••••••• I••••••••• A•••••••• L•• BD affiliated currentsince Aug 30, 2017 · Stamford, Ct
- W•••• F•••• A••••••• wirehouseJul 19, 2007 to Apr 28, 2017 · Boston, Ma
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to S•••••• P••••••• I••••••••• A•••••••• L••left Apr 28, 2017, registered Aug 30, 2017 (124 days) · Other · moved with a team
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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address