DFX Intelligence
RIA Intelligence
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Registered advisor
T••• T•••••••
Feed of 09/14/2026
At current firm
11 y
since Aug 4, 2015
In the industry
12 y
since Jun 16, 2014 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
12
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
- V•••• F•••••••• A•••••••• I••• BD affiliated currentsince Aug 4, 2015 · Boca Raton, Fl
- P•••• S••••••••• L•• no RAUMJul 8, 2014 to Jun 23, 2015 · West Palm Beach, Fl
Moves
a registration end followed by a registration begin elsewhere
- P•••• S••••••••• L•• to V•••• F•••••••• A•••••••• I•••left Jun 23, 2015, registered Aug 4, 2015 (42 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
- 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