DFX Intelligence
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Registered advisor
O••••••• R•••••
Feed of 09/15/2026
At current firm
4 y
since Apr 12, 2022
In the industry
13 y
since Aug 27, 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
0
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• national BD currentsince Apr 12, 2022 · Stamford, Ct
- T• A••••••••• I••••••••• M••••••••• L•• formerNov 16, 2021 to Sep 7, 2023 · West Hartford, Ct
- T• A••••••••• I••• formerNov 16, 2021 to Oct 14, 2022 · West Hartford, Ct
- S••••••••• A•••••• A•••••••• I••• formerJan 23, 2019 to Nov 8, 2021 · Glastonbury, Ct
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 28, 2014 to Feb 2, 2017 · Hartford, Ct
- M••••• S•••••• wirehouseAug 27, 2013 to Jul 9, 2014 · New Haven, Ct
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Sep 7, 2023, registered Apr 12, 2022 (-513 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 14, 2022, registered Nov 16, 2021 (-332 days) · corporate re-registration, not a move
- S••••••••• A•••••• A•••••••• I••• to T• A••••••••• I•••left Nov 8, 2021, registered Nov 16, 2021 (8 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S••••••••• A•••••• A•••••••• I•••left Feb 2, 2017, registered Jan 23, 2019 (720 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 9, 2014, registered Jul 28, 2014 (19 days) · Wirehouse to wirehouse
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