DFX Intelligence
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Registered advisor
B••• D•••••• L•••••
Feed of 09/14/2026
Also filed as B••• D• L••••••••• L••••••••• D••••••••• L•••••
At current firm
2 y
since Jan 23, 2024
In the industry
17 y
since Nov 11, 2008 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- U••• B•••••• A•••••••• L•• BD affiliated currentsince Jan 23, 2024 · Watchung, Nj
- U••• B•••••• I••••••••• I••• formerJun 11, 2020 to Feb 13, 2026 · Saint Paul, Mn
- U•• F•••••••• S••••••• I••• wirehouseSep 22, 2016 to Aug 24, 2018 · Weehawken, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 6, 2013 to Jan 8, 2015 · New York, Ny
- M••••• S•••••• wirehouseSep 17, 2010 to Mar 4, 2013 · Short Hills, Nj
Moves
a registration end followed by a registration begin elsewhere
- U••• B•••••• I••••••••• I••• to U••• B•••••• A•••••••• L••left Feb 13, 2026, registered Jan 23, 2024 (-752 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to U••• B•••••• I••••••••• I•••left Aug 24, 2018, registered Jun 11, 2020 (657 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Jan 8, 2015, registered Sep 22, 2016 (623 days) · Wirehouse to wirehouse · moved with a team
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 4, 2013, registered Mar 6, 2013 (2 days) · Wirehouse to wirehouse
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address