DFX Intelligence
RIA 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.
Registered advisor
B•••• W•••••• S•••••
Feed of 09/15/2026
At current firm
2 y
since Nov 14, 2023
In the industry
13 y
since Apr 26, 2013 (earliest exam, job or registration)
Prior registered firms
5
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
- M••••• G••••• A••••••• I••• independent RIA currentsince Nov 14, 2023 · Tampa, Fl
- E•••••• A••••••• G••••• L•• BD affiliatedApr 3, 2023 to Nov 7, 2023 · Greenwood Village, Co
- P••••••• C•••••• A••••••• C••••••••• formerAug 14, 2019 to Apr 3, 2023 · Northport, Ny
- F••••• I••••••••• independent RIAMay 9, 2018 to Aug 9, 2019 · Northport, Ny
- E•••••• C•••••• M••••••••• L•• formerOct 9, 2014 to Feb 20, 2018 · New York, Ny
- M••••• S•••••• wirehouseApr 29, 2013 to Oct 4, 2014 · Melville, Ny
Moves
a registration end followed by a registration begin elsewhere
- E•••••• A••••••• G••••• L•• to M••••• G••••• A••••••• I•••left Nov 7, 2023, registered Nov 14, 2023 (7 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- P••••••• C•••••• A••••••• C••••••••• to E•••••• A••••••• G••••• L••left Apr 3, 2023, registered Apr 3, 2023 (0 days) · corporate re-registration, not a move
- F••••• I••••••••• to P••••••• C•••••• A••••••• C•••••••••left Aug 9, 2019, registered Aug 14, 2019 (5 days) · RIA to RIA · moved with a team
- E•••••• C•••••• M••••••••• L•• to F••••• I•••••••••left Feb 20, 2018, registered May 9, 2018 (78 days) · RIA to RIA
- M••••• S•••••• to E•••••• C•••••• M••••••••• L••left Oct 4, 2014, registered Oct 9, 2014 (5 days) · Other
Signals
- B•••• W•••••• S••••• left E•••••• A••••••• G••••• L•• for M••••• G••••• A••••••• I••• (registered 2023-11-14)Nov 7, 2023 · 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address