DFX Intelligence
RIA Intelligence
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Registered advisor
T••••• B••• A•••
Feed of 09/14/2026
At current firm
0 y
since Feb 23, 2026
In the industry
10 y
since Oct 1, 2015 (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
- N•• E••• W••••• BD affiliated currentsince Feb 23, 2026 · Stamford, Ct
- M••••• S•••••• wirehouseOct 31, 2019 to Feb 27, 2026 · Boston, Ma
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to N•• E••• W•••••left Feb 27, 2026, registered Feb 23, 2026 (-4 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
Signals
- T••••• B••• A••• left M••••• S•••••• for N•• E••• W••••• (registered 2026-02-23)Feb 27, 2026 · 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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address