DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Feed of 09/14/2026
Also filed as D•••• D••••• B••••••••• D• B••••••••• D• C••••••••• C••••••••
At current firm
1 y
since Feb 6, 2025
In the industry
13 y
since Jun 1, 2013 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
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
- M••••• S•••••• wirehouse currentsince Feb 6, 2025 · New York, Ny
- J••• M••••• S••••••••• L•• wirehouseSep 24, 2024 to Jan 19, 2025 · New York, Ny
- M••••• S•••••• wirehouseAug 31, 2023 to Aug 29, 2024 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• S••••••••• L•• to M••••• S••••••left Jan 19, 2025, registered Feb 6, 2025 (18 days) · Wirehouse to wirehouse
- M••••• S•••••• to J••• M••••• S••••••••• L••left Aug 29, 2024, registered Sep 24, 2024 (26 days) · Wirehouse to wirehouse · moved with a team
Signals
- ••• LockedJan 19, 2025 · Advisor changed firm · fact
- ••• LockedAug 29, 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
- Wirehousederived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address