DFX Intelligence
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Registered advisor
E•••••••• N••
Feed of 09/14/2026
Also filed as E•••••••• E• N••••••• N••••••••• E•••• N••
At current firm
3 y
since Oct 13, 2022
In the industry
13 y
since Sep 6, 2013 (earliest exam, job or registration)
Prior registered firms
3
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- J••• M••••• S••••••••• L•• wirehouse currentsince Oct 13, 2022 · New York, Ny
- M••••• S•••••• wirehouseJan 17, 2019 to Jul 21, 2022 · San Francisco, Ca
- A••••• A•• P••••••• S••••••• BD affiliatedJan 20, 2015 to May 8, 2017 · Palm Beach Gardens, Fl
- S•••••••• A••••••• L•• national BDDec 17, 2013 to May 9, 2014 · Palm Beach, Fl
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to J••• M••••• S••••••••• L••left Jul 21, 2022, registered Oct 13, 2022 (84 days) · Wirehouse to wirehouse · moved with a team
- A••••• A•• P••••••• S••••••• to M••••• S••••••left May 8, 2017, registered Jan 17, 2019 (619 days) · Other
- S•••••••• A••••••• L•• to A••••• A•• P••••••• S•••••••left May 9, 2014, registered Jan 20, 2015 (256 days) · Other
Signals
- ••• LockedJul 21, 2022 · Advisor changed firm · fact
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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address