DFX Intelligence
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N••••• C• H••••
As of · the IAPD feed; also filed as N••••• C• A••••••
- At current firm
- 1 y
- In the industry
- 11 y
- Prior registered firms
- 4
- Signals
- 2
since Jan 9, 2025
As of · the IAPD feed; also filed as N••••• C• A••••••
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Registration history
IAPD current and previous registrations
- L•• E••••••••• L•• BD affiliated currentsince Jan 9, 2025 · Vestal, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 31, 2022 to Oct 31, 2024 · Binghamton, Ny
- L•• F•••••••• L•• BD affiliatedJun 9, 2021 to Jul 1, 2022 · Binghamton, Ny
- M•• S••••••••• I••• unclassifiedJan 17, 2018 to Jun 9, 2021 · Binghamton, Ny
- L•• F•••••••• L•• BD affiliatedMay 11, 2017 to Jan 24, 2018 · Vestal, Ny
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• E••••••••• L••left Oct 31, 2024, registered Jan 9, 2025 (70 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- L•• F•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 1, 2022, registered May 31, 2022 (-31 days) · RIA to wirehouse
- M•• S••••••••• I••• to L•• F•••••••• L••left Jun 9, 2021, registered Jun 9, 2021 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to M•• S••••••••• I•••left Jan 24, 2018, registered Jan 17, 2018 (-7 days) · Other
Signals
- ••• LockedOct 31, 2024 · Advisor changed firm · fact
- ••• LockedJul 1, 2022 · Advisor changed firm · fact
Transition signals
No combined mobility score is published yet. The signals above are on record, each with its own history and base rate.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address