DFX Intelligence
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Registered advisor
B•••••• A• Q••••
Feed of 09/14/2026
Also filed as B•••••• A••• K••••••••• Q••••••••• A••• Q••••••••• A• Q••••••••• Q••••••••• A••• Q••••
At current firm
4 y
since May 18, 2022
In the industry
18 y
since Oct 22, 2007 (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
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•• F•••••••• L•• BD affiliated currentsince May 18, 2022 · Chelsea, Ma
- C••• B•••••••• S•••••••• I••• formerFeb 14, 2017 to May 18, 2022 · Chelsea, Ma
- L•• F•••••••• L•• BD affiliatedNov 14, 2014 to Dec 14, 2016 · Auburndale, Ma
- E•••• S••••••••• L•• BD affiliatedMay 21, 2012 to Nov 4, 2014 · Waltham, Ma
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 3, 2008 to Jun 15, 2010 · Boston, Ma
Moves
a registration end followed by a registration begin elsewhere
- C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••left May 18, 2022, registered May 18, 2022 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to C••• B•••••••• S•••••••• I•••left Dec 14, 2016, registered Feb 14, 2017 (62 days) · Other
- E•••• S••••••••• L•• to L•• F•••••••• L••left Nov 4, 2014, registered Nov 14, 2014 (10 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E•••• S••••••••• L••left Jun 15, 2010, registered May 21, 2012 (706 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