DFX Intelligence
RIA Intelligence
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Feed of 09/15/2026
At current firm
3 y
since Aug 8, 2023
In the industry
10 y
since Aug 1, 2016 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
2
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•••••• A••••••• BD affiliated currentsince Aug 8, 2023 · Getzville, Ny
- L•••••• I••••••••• independent RIA currentsince Aug 8, 2023 · Fort Washington, Pa
- E•••••••• A•••••••• L•• national BDOct 20, 2022 to Aug 9, 2023 · Williamsville, Ny
Moves
a registration end followed by a registration begin elsewhere
- E•••••••• A•••••••• L•• to L•••••• I•••••••••left Aug 9, 2023, registered Aug 8, 2023 (-1 days) · Affiliated broker-dealer or bank to independent RIA
Signals
- O••••• L•••• left E•••••••• A•••••••• L•• for L•••••• I••••••••• (registered 2023-08-08)Aug 9, 2023 · 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