DFX Intelligence
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Registered advisor
S•••••• T••••••• C••••
Feed of 09/15/2026
At current firm
11 y
since Apr 17, 2015
In the industry
12 y
since Dec 1, 2013 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
7
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
- L•• F•••••••• L•• BD affiliated currentsince Apr 17, 2015 · Pottstown, Pa
- P•• A••••••• independent RIAJan 19, 2016 to Sep 5, 2017 · Pottstown, Pa
- C••• F•••••••• S•••••••• L••• formerSep 4, 2014 to Apr 20, 2015 · Pottstown, Pa
Moves
a registration end followed by a registration begin elsewhere
- P•• A••••••• to no registered destinationleft Sep 5, 2017 · Departure, no registered destination
- C••• F•••••••• S•••••••• L••• to L•• F•••••••• L••left Apr 20, 2015, registered Apr 17, 2015 (-3 days) · Other · 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
- 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