DFX Intelligence
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Registered advisor
L•••••• F•••••••• R•••••••• C••••
Feed of 09/14/2026
Also filed as L•••••• F•••••••• R•••••••• C••••••••• F•••••••• R• C••••••••• F• R•••••••• C••••••••• F•••••••• R•••••••• C••••••••• C•••••••
At current firm
1 y
since Jan 30, 2025
In the industry
11 y
since Jan 1, 2015 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
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
- M••••• S•••••• wirehouse currentsince Jan 30, 2025 · Bethesda, Md
- A••••••••• F•••••••• S•••••••• L•• national BDSep 10, 2024 to Dec 19, 2024 · Feasterville, Pa
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• F•••••••• S•••••••• L•• to M••••• S••••••left Dec 19, 2024, registered Jan 30, 2025 (42 days) · Affiliated broker-dealer or bank to wirehouse
Signals
- ••• LockedDec 19, 2024 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address