DFX Intelligence
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Registered advisor
N••••••• W••••• R••••••••
Feed of 09/14/2026
Also filed as N••••••• W••••• R••••••••• W• R••••••••• W• R••••••••• W• R••••••••
At current firm
4 y
since Mar 8, 2022
In the industry
15 y
since Feb 28, 2011 (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
- A••••• A•• P••••••• S••••••• BD affiliated currentsince Mar 8, 2022 · New York, Ny
- J••• M••••• S••••••••• L•• wirehouseApr 23, 2018 to Feb 19, 2022 · New York, Ny
- U•• F•••••••• S••••••• I••• wirehouseJan 9, 2015 to Mar 23, 2017 · Weehawken, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 1, 2011 to Nov 21, 2014 · Pennington
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• S••••••••• L•• to A••••• A•• P••••••• S•••••••left Feb 19, 2022, registered Mar 8, 2022 (17 days) · Wirehouse to affiliated broker-dealer or bank
- U•• F•••••••• S••••••• I••• to J••• M••••• S••••••••• L••left Mar 23, 2017, registered Apr 23, 2018 (396 days) · Wirehouse to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Nov 21, 2014, registered Jan 9, 2015 (49 days) · Wirehouse to wirehouse
Signals
- ••• LockedFeb 19, 2022 · Advisor changed firm · fact
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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address