DFX Intelligence
RIA Intelligence
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Registered advisor
B•••• C• P•••••••••
Feed of 09/14/2026
At current firm
8 y
since Mar 9, 2018
In the industry
38 y
since Jul 1, 1988 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- I••••••••• W••••• C••••••• L•• independent RIA currentsince Mar 9, 2018 · Glastonbury, Ct
- O•••• F•• I••• formerMar 3, 2014 to Mar 15, 2017 · Marlborough, Ct
Moves
a registration end followed by a registration begin elsewhere
- O•••• F•• I••• to I••••••••• W••••• C••••••• L••left Mar 15, 2017, registered Mar 9, 2018 (359 days) · Other
Signals
No dated event on this person.
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
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address