DFX Intelligence
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Registered advisor
R••• A• S•••••••••
Feed of 09/14/2026
Also filed as R••• A••••• S•••••••••
At current firm
11 y
since Feb 24, 2015
In the industry
16 y
since Aug 30, 2010 (earliest exam, job or registration)
Prior registered firms
4
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
- B•••••••• I••••••••• M••••••••• L•• asset manager currentsince Feb 24, 2015 · Plain City, Oh
- T• A••••••••• I••••••••• M••••••••• L•• formerSep 13, 2013 to Feb 20, 2015 · Philadelphia, Pa
- T• A••••••••• I••• formerSep 13, 2013 to Feb 20, 2015 · Philadelphia, Pa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 23, 2011 to Sep 4, 2013 · Pennington, Nj
- V••• F•••••••• A•••••••• I••• BD affiliatedSep 10, 2010 to Apr 12, 2011 · Philadelphia, Pa
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••••••••• M••••••••• L•• to B•••••••• I••••••••• M••••••••• L••left Feb 20, 2015, registered Feb 24, 2015 (4 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 20, 2015, registered Sep 13, 2013 (-525 days) · channel change inside one enterprise, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T• A••••••••• I•••left Sep 4, 2013, registered Sep 13, 2013 (9 days) · Other
- V••• F•••••••• A•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 12, 2011, registered Jun 23, 2011 (72 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
- Asset manager (funds and pooled vehicles)derived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address