DFX Intelligence
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Registered advisor
F•••• L•••••
Feed of 09/15/2026
Also filed as F•••• L•••••
At current firm
4 y
since May 20, 2022
In the industry
10 y
since Jan 1, 2016 (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
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- R•• C•••••• M••••••• L•• national BD currentsince May 20, 2022 · New York, Ny
- M••••• S•••••• wirehouseSep 6, 2017 to Jun 9, 2022 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to R•• C•••••• M••••••• L••left Jun 9, 2022, registered May 20, 2022 (-20 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
Signals
- ••• LockedJun 9, 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
- National broker-dealer RIAderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address