DFX Intelligence

RIA Intelligence

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Registered advisor

E••• M• W•••••

E•••••••• A•••••••• L••national BDEast Greenwich, Ridual registrantIAPD 5635840

Feed of 09/14/2026

Also filed as E••• W•••••

At current firm

3 y

since Nov 29, 2022

In the industry

17 y

since Mar 26, 2009 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

E•••••••• A•••••••• L•• national BD current
since Nov 29, 2022 · East Greenwich, Ri
C••••••• S••••••••• I••• BD affiliated
Aug 6, 2014 to Dec 2, 2022 · Cranston, Ri
M••••• S•••••• wirehouse
Aug 30, 2010 to Aug 18, 2014 · Providence, Ri
E••••• J•••• national BD
Apr 8, 2009 to Jul 28, 2010 · East Greenwich, Ri

Moves

a registration end followed by a registration begin elsewhere

C••••••• S••••••••• I••• to E•••••••• A•••••••• L••
left Dec 2, 2022, registered Nov 29, 2022 (-3 days) · Affiliated broker-dealer or bank to another
M••••• S•••••• to C••••••• S••••••••• I•••
left Aug 18, 2014, registered Aug 6, 2014 (-12 days) · Other
E••••• J•••• to M••••• S••••••
left Jul 28, 2010, registered Aug 30, 2010 (33 days) · Affiliated broker-dealer or bank to wirehouse

Signals

E••• M• W••••• left C••••••• S••••••••• I••• for E•••••••• A•••••••• L•• (registered 2022-11-29)
Dec 2, 2022 · Advisor changed firm · fact

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: National broker-dealer RIAderived
Years in industry: 17derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address