DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
R•• Y•••••
Certified Financial Planner · Chartered Financial Consultant
Feed of 09/15/2026
At current firm
3 y
since Jan 30, 2023
In the industry
27 y
since Jun 1, 1999 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
6
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
- C••••••• S••••••••• I••• BD affiliated currentsince Jan 30, 2023 · Johnston, Ri
- P••• A••••• S••••••••• L•• BD affiliatedSep 29, 2020 to Nov 15, 2022 · Needham, Ma
Moves
a registration end followed by a registration begin elsewhere
- P••• A••••• S••••••••• L•• to C••••••• S••••••••• I•••left Nov 15, 2022, registered Jan 30, 2023 (76 days) · Affiliated broker-dealer or bank to another
Signals
- R•• Y••••• left P••• A••••• S••••••••• L•• for C••••••• S••••••••• I••• (registered 2023-01-30)Nov 15, 2022 · 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address