DFX Intelligence
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D•••• W••••• J••••
Registered advisorat C•••••••• I••••••••• R••••••• A•••••••• I•••Dual registrant· Riverside, Ri IAPD 6571345
As of · the IAPD feed; also filed as D•••• L••••• W••••••••• L••••• W••••• J••••••••• L••••• J••••
- At current firm
- 3 y
- In the industry
- 15 y
- Prior registered firms
- 1
- Signals
- 1
since Oct 6, 2022
As of · the IAPD feed; also filed as D•••• L••••• W••••••••• L••••• W••••• J••••••••• L••••• J••••
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Registration history
IAPD current and previous registrations
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Oct 6, 2022 · Hyde Park, Ma
- M•• I•••••••• S•••••••• L•• BD affiliatedAug 25, 2020 to Feb 8, 2022 · Warwick, Ri
Moves
a registration end followed by a registration begin elsewhere
- M•• I•••••••• S•••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Feb 8, 2022, registered Oct 6, 2022 (240 days) · Affiliated broker-dealer or bank to another
Signals
- ••• LockedFeb 8, 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address