DFX Intelligence
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Registered advisor
A••••• C• G•••••
Feed of 09/14/2026
Also filed as A••••• C• M••••••••• C••••••••• M••••••••• C••••••••• G••••••••• C••••••••• G••••••••• C• M••••••••• C• M••••••••• C• G•••••
At current firm
1 y
since Nov 15, 2024
In the industry
26 y
since Apr 1, 2000 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63, 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
- L•• E••••••••• L•• BD affiliated currentsince Nov 15, 2024 · Southborough, Ma
- P•••• S••••••••• L•• no RAUMSep 16, 2024 to Nov 20, 2024 · Marlborough, Ma
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 15, 2008 to Feb 24, 2009 · Boston, Ma
Moves
a registration end followed by a registration begin elsewhere
- P•••• S••••••••• L•• to L•• E••••••••• L••left Nov 20, 2024, registered Nov 15, 2024 (-5 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P•••• S••••••••• L••left Feb 24, 2009, registered Sep 16, 2024 (5683 days) · Wirehouse to affiliated broker-dealer or bank
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address