DFX Intelligence
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Registered advisor
I•••• P••••••• A•••••••
Feed of 09/24/2026
At current firm
4 y
since Aug 17, 2022
In the industry
20 y
since Apr 1, 2006 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
4
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
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 Aug 17, 2022 · Andover, Ma
- P••••••• U••••• A•••••••• I••• formerJul 2, 2020 to Aug 17, 2022 · Stamford, Ct
- P••••••• S••••••••• I••• formerSep 19, 2018 to Mar 31, 2020 · Stamford, Ct
Moves
a registration end followed by a registration begin elsewhere
- P••••••• U••••• A•••••••• I••• to L•• F•••••••• L••left Aug 17, 2022, registered Aug 17, 2022 (0 days) · corporate re-registration, not a move
- P••••••• S••••••••• I••• to P••••••• U••••• A•••••••• I•••left Mar 31, 2020, registered Jul 2, 2020 (93 days) · corporate re-registration, not a move
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address