DFX Intelligence
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Registered advisor
T••••• D•••• T•••
Feed of 09/14/2026
Also filed as T••••• D• T••••••••• D•••• T••••••••• D•••• T••••••••• D•••• T••••••••• D•••• T•••
At current firm
4 y
since Feb 11, 2022
In the industry
14 y
since Nov 23, 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
S63, 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 Feb 11, 2022 · Cedar Grove, Nj
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Jan 27, 2022 · Boston, Ma
- S•••••••• A••••••• L•• national BDFeb 3, 2015 to Jul 13, 2018 · Paramus, Nj
- N••••••••• M••••• I••••••••• S••••••••• no RAUMMar 24, 2014 to Jan 16, 2015 · Paramus, Nj
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to J••• M••••• S••••••••• L••left Jan 27, 2022, registered Feb 11, 2022 (15 days) · Affiliated broker-dealer or bank to wirehouse
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- N••••••••• M••••• I••••••••• S••••••••• to S•••••••• A••••••• L••left Jan 16, 2015, registered Feb 3, 2015 (18 days) · Other
Signals
- ••• LockedJan 27, 2022 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address