DFX Intelligence
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Feed of 09/14/2026
Also filed as R••••••• A• S••••••••• A• S••••••••• S••••••••• A•••••• S••••••••• S••••••••• S••••••••• S••••
At current firm
4 y
since May 18, 2022
In the industry
10 y
since Jun 1, 2016 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
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 May 18, 2022 · Latham, Ny
- C••• B•••••••• S•••••••• I••• formerSep 11, 2019 to May 18, 2022 · Latham, Ny
- N••••••••• M••••• I••••••••• S••••••••• no RAUMJan 3, 2019 to Aug 15, 2019 · Albany, Ny
Moves
a registration end followed by a registration begin elsewhere
- C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••left May 18, 2022, registered May 18, 2022 (0 days) · corporate re-registration, not a move
- N••••••••• M••••• I••••••••• S••••••••• to C••• B•••••••• S•••••••• I•••left Aug 15, 2019, registered Sep 11, 2019 (27 days) · Other
Signals
No dated event on this person.
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address