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.
R••• A••• G•••
As of · the IAPD feed
- At current firm
- 1 y
- In the industry
- 11 y
- Prior registered firms
- 1
- Signals
- 1
since May 28, 2025
As of · the IAPD feed
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Registration history
IAPD current and previous registrations
- E•••••••• A•••••••• L•• national BD currentsince May 28, 2025 · Warwick, Ri
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 1, 2023 to Mar 14, 2025 · Riverside, Ri
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E•••••••• A•••••••• L••left Mar 14, 2025, registered May 28, 2025 (75 days) · Wirehouse to affiliated broker-dealer or bank
Signals
- ••• LockedMar 14, 2025 · Advisor changed firm · fact
Transition signals
No combined mobility score is published yet. The signals above are on record, each with its own history and base rate.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address