DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
N••••••• A••••• S•••••
Certified Financial Planner
Feed of 09/15/2026
At current firm
3 y
since Jan 26, 2023
In the industry
17 y
since Jan 1, 2009 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- H•••••••• A•••••••• L•• BD affiliated currentsince Jan 26, 2023 · Chicago, Il
- V••••••• A•••••••• I••• BD affiliatedNov 30, 2020 to Jan 27, 2023 · Malvern, Pa
Moves
a registration end followed by a registration begin elsewhere
- V••••••• A•••••••• I••• to H•••••••• A•••••••• L••left Jan 27, 2023, registered Jan 26, 2023 (-1 days) · Affiliated broker-dealer or bank to another
Signals
- ••• LockedJan 27, 2023 · 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
- 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