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.
R•••• B•••••••••
As of · the IAPD feed
- At current firm
- 4 y
- In the industry
- 15 y
- Prior registered firms
- 1
- Signals
- 1
since Jan 14, 2022
As of · the IAPD feed
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Registration history
IAPD current and previous registrations
- M••••• S•••••• wirehouse currentsince Jan 14, 2022 · Aventura, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 10, 2012 to Jan 18, 2022 · Delray Beach, Fl
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Jan 18, 2022, registered Jan 14, 2022 (-4 days) · Wirehouse to wirehouse · moved with a team
Signals
- ••• LockedJan 18, 2022 · Advisor changed firm · fact
Transition signalsWhat these will draw onThe 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.
No combined mobility score is published yet. The signals above are on record, each with its own history and base rate.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, the raw outside business text and any address in it, personal outside activities, branch street addressoutside businesses appear above as structured facts, reviewed, with a short quote