DFX Intelligence
RIA Intelligence
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Registered advisor
A•••••••• T•••••••••
Feed of 09/14/2026
At current firm
2 y
since Oct 12, 2023
In the industry
12 y
since Jun 1, 2014 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
3
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
- R•• C•••••• M••••••• L•• national BD currentsince Oct 12, 2023 · Philadelphia, Pa
- M••••• S•••••• wirehouseAug 26, 2019 to Oct 17, 2023 · Philadelphia, Pa
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to R•• C•••••• M••••••• L••left Oct 17, 2023, registered Oct 12, 2023 (-5 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
Signals
- A•••••••• T••••••••• left M••••• S•••••• for R•• C•••••• M••••••• L•• (registered 2023-10-12)Oct 17, 2023 · 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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address