DFX Intelligence
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Registered advisor
S•••• B•••••••
Feed of 09/15/2026
At current firm
1 y
since Mar 31, 2025
In the industry
14 y
since Sep 7, 2012 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Schaumburg, Il
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Mar 31, 2025 · Boston, Ma
- S•••••••• A••••••• L•• national BDMar 24, 2016 to Jul 13, 2018 · Schaumburg, Il
- W•••• F•••• A••••••• wirehouseDec 15, 2014 to Mar 11, 2015 · Westchester, Il
- V••• F•••••••• A•••••••• I••• BD affiliatedOct 17, 2012 to Jul 10, 2013 · Chicago, Il
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- 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
- W•••• F•••• A••••••• to S•••••••• A••••••• L••left Mar 11, 2015, registered Mar 24, 2016 (379 days) · Wirehouse to affiliated broker-dealer or bank
- V••• F•••••••• A•••••••• I••• to W•••• F•••• A•••••••left Jul 10, 2013, registered Dec 15, 2014 (523 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
- National broker-dealer RIAderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address