DFX Intelligence
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Registered advisor
R••••• S• T•••••
Feed of 09/14/2026
Also filed as R••••• T••••••••• S• T••••••••• T•••••
At current firm
2 y
since Oct 23, 2023
In the industry
13 y
since Aug 17, 2013 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
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
- C••••••••• F•••••••• N•••••• national BD currentsince Oct 23, 2023 · South Burlington, Vt
- M••••• S•••••• wirehouseJun 5, 2020 to Oct 26, 2023 · Colchester, Vt
- R•••••• J•••• • A••••••••• I••• national BDMay 5, 2015 to Jun 12, 2020 · Burlington, Vt
- U•• F•••••••• S••••••• I••• wirehouseSep 23, 2013 to May 14, 2015 · South Burlington, Vt
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to C••••••••• F•••••••• N••••••left Oct 26, 2023, registered Oct 23, 2023 (-3 days) · Wirehouse to affiliated broker-dealer or bank
- R•••••• J•••• • A••••••••• I••• to M••••• S••••••left Jun 12, 2020, registered Jun 5, 2020 (-7 days) · Affiliated broker-dealer or bank to wirehouse
- U•• F•••••••• S••••••• I••• to R•••••• J•••• • A••••••••• I•••left May 14, 2015, registered May 5, 2015 (-9 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
Signals
- ••• LockedOct 26, 2023 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address