DFX Intelligence
RIA Intelligence
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Registered advisor
R••••• T••••• F••••••••
Feed of 09/14/2026
At current firm
17 y
since Mar 16, 2009
In the industry
45 y
since Apr 24, 1981 (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
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Mar 16, 2009 · Naples, Fl
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 21, 2006 to Mar 12, 2009 · Naples, Fl
- L••• M•••• W••• W•••••• I••••••••• unclassifiedFeb 8, 1996 to Feb 21, 2006 · Naples, Fl
Moves
a registration end followed by a registration begin elsewhere
- C•••••••• G••••• M•••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Mar 12, 2009, registered Mar 16, 2009 (4 days) · Other
- L••• M•••• W••• W•••••• I••••••••• to C•••••••• G••••• M•••••• I•••left Feb 21, 2006, registered Feb 21, 2006 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The 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.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 45derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address