DFX Intelligence
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Registered advisor
N••••••• B• D••••••
Feed of 09/14/2026
Also filed as N••••••• D••••••
At current firm
1 y
since Aug 5, 2025
In the industry
13 y
since Feb 1, 2013 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Aug 5, 2025 · Rochester, Ny
- E•••••••• A•••••••• L•• national BDMar 11, 2024 to Jul 23, 2025 · Ontario, Ny
Moves
a registration end followed by a registration begin elsewhere
- E•••••••• A•••••••• L•• to M•• I•••••••• S•••••••• L••left Jul 23, 2025, registered Aug 5, 2025 (13 days) · Affiliated broker-dealer or bank to another · moved with a team
Signals
- ••• LockedJul 23, 2025 · 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address