DFX Intelligence
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Registered advisor
D••••• S•••••••••
Feed of 09/14/2026
Also filed as D••••• N••• S•••••••••
At current firm
4 y
since Oct 26, 2021
In the industry
17 y
since Mar 20, 2009 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
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
- U•• F•••••••• S••••••• I••• wirehouse currentsince Oct 26, 2021 · Jericho, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 10, 2011 to Dec 15, 2016 · New York, Ny
- M••••• S•••••• wirehouseJun 1, 2009 to Apr 11, 2011 · Purchase, Ny
- C•••••••• G••••• M•••••• I••• BD affiliatedMar 23, 2009 to Jun 1, 2009 · Warren, Nj
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Dec 15, 2016, registered Oct 26, 2021 (1776 days) · Wirehouse to wirehouse · moved with a team
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 11, 2011, registered May 10, 2011 (29 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
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
- Wirehousederived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address