DFX Intelligence
RIA Intelligence
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Registered advisor
E••• P•••••
Feed of 09/15/2026
At current firm
3 y
since Feb 27, 2023
In the industry
11 y
since Nov 1, 2014 (earliest exam, job or registration)
Prior registered firms
1
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- E•••• S••••••••• L•• BD affiliated currentsince Feb 27, 2023 · Marlboro, Nj
- M•• I•••••••• S•••••••• L•• BD affiliatedJun 30, 2021 to Dec 31, 2022 · Warren, Nj
Moves
a registration end followed by a registration begin elsewhere
- M•• I•••••••• S•••••••• L•• to E•••• S••••••••• L••left Dec 31, 2022, registered Feb 27, 2023 (58 days) · Affiliated broker-dealer or bank to another
Signals
- E••• P••••• left M•• I•••••••• S•••••••• L•• for E•••• S••••••••• L•• (registered 2023-02-27)Dec 31, 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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address