DFX Intelligence
RIA Intelligence
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Registered advisor
E••• N• B•••••••
Feed of 09/15/2026
Also filed as E••• B•••••••
At current firm
1 y
since Mar 31, 2025
In the industry
10 y
since Jul 1, 2016 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
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
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Jersey City, Nj
- F••••••• P••••••• A•• W•••••••• A••••••• formerJan 20, 2023 to Mar 31, 2025 · Millburn, Nj
- C••• F•••••••• S•••••••• L••• formerJun 7, 2018 to Nov 25, 2022 · Vancouver, Wa
- E•••••••• A•••••••• L•• national BDSep 27, 2016 to Jan 24, 2018 · Edison, Nj
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- C••• F•••••••• S•••••••• L••• to F••••••• P••••••• A•• W•••••••• A•••••••left Nov 25, 2022, registered Jan 20, 2023 (56 days) · Affiliated broker-dealer or bank to another
- E•••••••• A•••••••• L•• to C••• F•••••••• S•••••••• L•••left Jan 24, 2018, registered Jun 7, 2018 (134 days) · Affiliated broker-dealer or bank to another
Signals
- E••• N• B••••••• left C••• F•••••••• S•••••••• L••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2023-01-20)Nov 25, 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