DFX Intelligence
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Registered advisor
A••• F•••••••
Feed of 09/15/2026
Also filed as A••• M•••••• F••••••••• F•••••••
At current firm
1 y
since Mar 31, 2025
In the industry
10 y
since Jun 1, 2016 (earliest exam, job or registration)
Prior registered firms
3
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
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Northport, Ny
- F••••••• P••••••• A•• W•••••••• A••••••• formerFeb 10, 2023 to Mar 31, 2025 · New York, Ny
- J••• M••••• S••••••••• L•• wirehouseNov 14, 2020 to Jan 3, 2023 · Dix Hills, Ny
- L•• F•••••••• L•• BD affiliatedNov 21, 2017 to Nov 6, 2020 · Woodbury, Ny
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
- J••• M••••• S••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jan 3, 2023, registered Feb 10, 2023 (38 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- L•• F•••••••• L•• to J••• M••••• S••••••••• L••left Nov 6, 2020, registered Nov 14, 2020 (8 days) · Affiliated broker-dealer or bank to wirehouse
Signals
- ••• LockedJan 3, 2023 · Advisor changed firm · fact
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
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