DFX Intelligence
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Feed of 09/14/2026
Also filed as L•••• D••••••••• A•••••• D••••••••
At current firm
1 y
since Nov 29, 2024
In the industry
15 y
since Mar 1, 2011 (earliest exam, job or registration)
Prior registered firms
2
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
2
dated events on this person
Registration history
IAPD current and previous registrations
- C••••••• institutional currentsince Nov 29, 2024 · Boston, Ma
- C••••••••• F•••••••• N•••••• national BDFeb 15, 2024 to Oct 16, 2024 · Needham, Ma
- A••••••••• F•••••••• S•••••••• L•• national BDFeb 24, 2023 to Jan 30, 2024 · Oxford, Ct
Moves
a registration end followed by a registration begin elsewhere
- C••••••••• F•••••••• N•••••• to C•••••••left Oct 16, 2024, registered Nov 29, 2024 (44 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to C••••••••• F•••••••• N••••••left Jan 30, 2024, registered Feb 15, 2024 (16 days) · Affiliated broker-dealer or bank to another
Signals
- ••• LockedOct 16, 2024 · Advisor changed firm · fact
- ••• LockedJan 30, 2024 · Advisor changed firm · fact
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Institutional managerderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address