DFX Intelligence
RIA Intelligence
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Registered advisor
B•••• W•••••• C••••••
Feed of 09/15/2026
At current firm
6 y
since Aug 17, 2020
In the industry
12 y
since Jun 1, 2014 (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
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
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Aug 17, 2020 · Pittsburgh, Pa
- C••••••• S••••••••• I••• BD affiliatedFeb 1, 2018 to Aug 17, 2020 · Pittsburgh, Pa
- W•••••• • R••• formerSep 5, 2014 to Feb 1, 2018 · Hamden, Ct
Moves
a registration end followed by a registration begin elsewhere
- C••••••• S••••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Aug 17, 2020, registered Aug 17, 2020 (0 days) · Affiliated broker-dealer or bank to another
- W•••••• • R••• to C••••••• S••••••••• I•••left Feb 1, 2018, registered Feb 1, 2018 (0 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
- National broker-dealer RIAderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address