DFX Intelligence
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Registered advisor
A••• R••• E•••••
Certified Financial Planner
Feed of 09/15/2026
Also filed as A••• R••• E••••••••• R••• E••••••••• E•••••
At current firm
8 y
since Jul 19, 2018
In the industry
13 y
since Sep 20, 2013 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, 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
- F••••• I••••••••• independent RIA currentsince Jul 19, 2018 · Plano, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 28, 2017 to Jun 28, 2018 · Portsmouth, Nh
- S•••••••• A••••••• L•• national BDJan 26, 2015 to Jun 20, 2017 · Merrimack, Nh
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F••••• I•••••••••left Jun 28, 2018, registered Jul 19, 2018 (21 days) · Wirehouse to independent RIA
- S•••••••• A••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 20, 2017, registered Jun 28, 2017 (8 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
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
- Independent wealth managerderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address