DFX Intelligence
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Registered advisor
A•••••• M•••••• P••••••••
Feed of 09/15/2026
Also filed as A•••••• M•••••• P••••••••• P••••••••
At current firm
2 y
since Mar 15, 2024
In the industry
11 y
since Oct 1, 2014 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S63, 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•••••• P••••••• I••••••••• A•••••••• L•• BD affiliated currentsince Mar 15, 2024 · Stamford, Ct
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJun 29, 2021 to Mar 15, 2024 · Suffolk, Va
- L•• F•••••••• L•• BD affiliatedJan 22, 2021 to Dec 14, 2021 · Hampton, Va
- W•••• F•••• A••••••• wirehouseJan 9, 2020 to Jan 11, 2021 · Winston Salem, Nc
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to S•••••• P••••••• I••••••••• A•••••••• L••left Mar 15, 2024, registered Mar 15, 2024 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
- L•• F•••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Dec 14, 2021, registered Jun 29, 2021 (-168 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to L•• F•••••••• L••left Jan 11, 2021, registered Jan 22, 2021 (11 days) · Wirehouse to affiliated broker-dealer or bank
Signals
- ••• LockedMar 15, 2024 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address