DFX Intelligence
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Registered advisor
A•••• L••••••• S•••••
Feed of 09/15/2026
Also filed as A• L••••••• S•••••• L••••••• S••••••••• S••••••••• L• S••••••••• S•••••
At current firm
15 y
since Apr 7, 2011
In the industry
17 y
since Dec 19, 2008 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
2
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
- C•••••• A••••••• BD affiliated currentsince Feb 2, 2015 · Jenkintown, Pa
- L•••••• I••••••••• independent RIA currentsince Apr 7, 2011 · Philadelphia, Pa
- A••••••••• F•••••••• S•••••••• L•• national BDDec 22, 2008 to Mar 26, 2009 · Marlton, Nj
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• F•••••••• S•••••••• L•• to L•••••• I•••••••••left Mar 26, 2009, registered Apr 7, 2011 (742 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address