DFX Intelligence
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Registered advisor
S••••• S•••••••••
Feed of 09/14/2026
At current firm
2 y
since Oct 2, 2023
In the industry
13 y
since Sep 1, 2013 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
3
dated events on this person
Registration history
IAPD current and previous registrations
- E•••••••• A•••••••• L•• national BD currentsince Oct 2, 2023 · New York, Ny
- P•••• S••••••••• L•• no RAUMJan 5, 2023 to Oct 4, 2023 · Forest Hills, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 7, 2022 to Jan 9, 2023 · New York, Ny
- E•••••••• A•••••••• L•• national BDAug 5, 2020 to Jun 14, 2022 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- P•••• S••••••••• L•• to E•••••••• A•••••••• L••left Oct 4, 2023, registered Oct 2, 2023 (-2 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P•••• S••••••••• L••left Jan 9, 2023, registered Jan 5, 2023 (-4 days) · Wirehouse to affiliated broker-dealer or bank
- E•••••••• A•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 14, 2022, registered Jun 7, 2022 (-7 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
Signals
- S••••• S••••••••• left P•••• S••••••••• L•• for E•••••••• A•••••••• L•• (registered 2023-10-02)Oct 4, 2023 · Advisor changed firm · fact
- S••••• S••••••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for P•••• S••••••••• L•• (registered 2023-01-05)Jan 9, 2023 · Advisor changed firm · fact
- S••••• S••••••••• left E•••••••• A•••••••• L•• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2022-06-07)Jun 14, 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
- National broker-dealer RIAderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address