DFX Intelligence

RIA Intelligence

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D••••• L• W•••••

Registered advisorat A••••• A•• P••••••• S•••••••Dual registrant· Philadelphia, PaIAPD 7796370
In the industry
18 y
Prior registered firms
0
Signals
5
As of · the IAPD feed
State registrations
4
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Registration history
IAPD current and previous registrations
    Moves
    a registration end followed by a registration begin elsewhere
    No firm change on the tape.
    Signals
    • ••• Locked
      Sep 18, 2026 · New state registration · fact
    • ••• Locked
      Sep 15, 2026 · New state registration · fact
    • ••• Locked
      Sep 15, 2026 · New state registration · fact
    • ••• Locked
      Sep 14, 2026 · Advisor registered · fact
    • ••• Locked
      Sep 14, 2026 · New state registration · 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
    Broker-dealer affiliated wealth managerderived
    Years in industry
    18derivedfrom the earliest dated exam, employment or registration
    Not published
    disclosure flags, outside business text, branch street address