DFX Intelligence
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Registered advisor
S••••• D•••••• W••••
Certified Financial Planner
Feed of 09/15/2026
Also filed as S••••• D• W••••••••• W••••
At current firm
4 y
since May 17, 2022
In the industry
12 y
since Apr 1, 2014 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
3
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
- F••••• I••••••••• independent RIA currentsince May 17, 2022 · Plano, Tx
- F••••••• P••••••• A•• W•••••••• A••••••• formerJun 16, 2020 to May 15, 2022 · Philadelphia, Pa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 7, 2016 to Jun 1, 2020 · Jenkintown, Pa
- M••••• S•••••• wirehouseJul 24, 2014 to Oct 31, 2016 · Marlton, Nj
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to F••••• I•••••••••left May 15, 2022, registered May 17, 2022 (2 days) · Affiliated broker-dealer or bank to independent RIA
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Jun 1, 2020, registered Jun 16, 2020 (15 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 31, 2016, registered Nov 7, 2016 (7 days) · Wirehouse to wirehouse · moved with a team
Signals
- ••• LockedMay 15, 2022 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet. The 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.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Independent wealth managerderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address