DFX Intelligence
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Registered advisor
E•••••• S••••••••
Feed of 09/14/2026
At current firm
1 y
since Apr 22, 2025
In the industry
11 y
since Aug 1, 2015 (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
2
dated events on this person
Registration history
IAPD current and previous registrations
- J••• M••••• S••••••••• L•• wirehouse currentsince Apr 22, 2025 · Bethpage, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 26, 2022 to Feb 21, 2025 · Melville, Ny
- J••• M••••• S••••••••• L•• wirehouseMay 6, 2021 to May 5, 2022 · Port Washington, Ny
- E•••••••• A•••••••• L•• national BDJan 13, 2020 to Mar 23, 2021 · Melville, Ny
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••left Feb 21, 2025, registered Apr 22, 2025 (60 days) · Wirehouse to wirehouse
- J••• M••••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 5, 2022, registered Jul 26, 2022 (82 days) · Wirehouse to wirehouse · moved with a team
- E•••••••• A•••••••• L•• to J••• M••••• S••••••••• L••left Mar 23, 2021, registered May 6, 2021 (44 days) · Affiliated broker-dealer or bank to wirehouse
Signals
- ••• LockedFeb 21, 2025 · Advisor changed firm · fact
- ••• LockedMay 5, 2022 · 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
- Wirehousederived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address