DFX Intelligence
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Registered advisor
S••• M••••••• R•••
Feed of 09/15/2026
At current firm
9 y
since May 9, 2017
In the industry
14 y
since Mar 1, 2012 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
5
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
- C••••••• S••••••••• I••• BD affiliated currentsince May 9, 2017 · Johnston, Ri
- W•••• F•••• A••••••• wirehouseJul 2, 2013 to May 3, 2017 · Cheshire, Ct
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to C••••••• S••••••••• I•••left May 3, 2017, registered May 9, 2017 (6 days) · Other
Signals
No dated event on this person.
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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address