DFX Intelligence
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Registered advisor
D••• A• R•••••••
Feed of 09/15/2026
Also filed as D••• A•••••• J••••••
At current firm
9 y
since Mar 25, 2017
In the industry
17 y
since Dec 4, 2008 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
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
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Mar 25, 2017 · Warwick, Ri
- M•• F•••••••• S•••••••• I••• formerApr 15, 2009 to Mar 25, 2017 · Guilford, Ct
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 8, 2008 to Feb 12, 2009 · Hartford, Ct
Moves
a registration end followed by a registration begin elsewhere
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M•• F•••••••• S•••••••• I•••left Feb 12, 2009, registered Apr 15, 2009 (62 days) · Other
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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address