DFX Intelligence
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Registered advisor
P••• C••••••••• M••••
C•••••••• I••••••••• R••••••• A•••••••• I•••BD affiliatedWilkes-Barre, Padual registrantIAPD 6196840
Feed of 09/14/2026
At current firm
7 y
since Aug 1, 2019
In the industry
12 y
since Dec 4, 2013 (earliest exam, job or registration)
Prior registered firms
4
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
0
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Aug 1, 2019 · Wilkes-Barre, Pa
- P••• A••••• S••••••••• L•• BD affiliatedApr 24, 2018 to Sep 10, 2018 · Clarks Summit, Pa
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to Mar 15, 2018 · Moosic, Pa
- M•• F•••••••• S•••••••• I••• formerJan 5, 2015 to Mar 25, 2017 · Moosic, Pa
- P••• A••••• S••••••••• L•• BD affiliatedDec 17, 2013 to Jul 14, 2014 · Plains, Pa
Moves
a registration end followed by a registration begin elsewhere
- P••• A••••• S••••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Sep 10, 2018, registered Aug 1, 2019 (325 days) · Affiliated broker-dealer or bank to another
- M•• I•••••••• S•••••••• L•• to P••• A••••• S••••••••• L••left Mar 15, 2018, registered Apr 24, 2018 (40 days) · Other
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- P••• A••••• S••••••••• L•• to M•• F•••••••• S•••••••• I•••left Jul 14, 2014, registered Jan 5, 2015 (175 days) · Other
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address