DFX Intelligence
RIA Intelligence
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Registered advisor
A••• G• C••••
Feed of 09/14/2026
At current firm
4 y
since Jan 10, 2022
In the industry
13 y
since Aug 1, 2013 (earliest exam, job or registration)
Prior registered firms
3
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
- C•••••• S••••• • C••• I••• national BD currentsince Jan 10, 2022 · Boston, Ma
- C•••••• S••••• I••••••••• A•••••••• I•• formerFeb 27, 2018 to Feb 11, 2022 · Boston, Ma
- T••••••••• I••• formerNov 23, 2016 to Mar 30, 2018 · Boston, Ma
- W•••••••• I••••••••• M••••••••• I••• formerSep 15, 2015 to Mar 30, 2018 · Boston, Ma
Moves
a registration end followed by a registration begin elsewhere
- C•••••• S••••• I••••••••• A•••••••• I•• to C•••••• S••••• • C••• I•••left Feb 11, 2022, registered Jan 10, 2022 (-32 days) · channel change inside one enterprise, not a move · moved with a team
- T••••••••• I••• to C•••••• S••••• I••••••••• A•••••••• I••left Mar 30, 2018, registered Feb 27, 2018 (-31 days) · channel change inside one enterprise, not a move · moved with a team
- W•••••••• I••••••••• M••••••••• I••• to T••••••••• I•••left Mar 30, 2018, registered Nov 23, 2016 (-492 days) · channel change inside one enterprise, not a move · moved with a team
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
- 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