DFX Intelligence
RIA Intelligence
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Registered advisor
A•••••• D•••••••••
Feed of 09/14/2026
At current firm
3 y
since Oct 21, 2022
In the industry
12 y
since May 1, 2014 (earliest exam, job or registration)
Prior registered firms
1
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Oct 21, 2022 · Westborough, Ma
- E•••• S••••••••• L•• BD affiliatedJun 3, 2021 to Jul 21, 2022 · Westborough, Ma
Moves
a registration end followed by a registration begin elsewhere
- E•••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 21, 2022, registered Oct 21, 2022 (92 days) · Affiliated broker-dealer or bank to wirehouse
Signals
- A•••••• D••••••••• left E•••• S••••••••• L•• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2022-10-21)Jul 21, 2022 · Advisor changed firm · fact
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
- Wirehousederived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address