DFX Intelligence
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Registered advisor
D•••••• L• B••••
Feed of 09/14/2026
Also filed as D•••••• L••• F••••••••• L••• R••••••••• F•••• R••••••••• L• I••••••
At current firm
17 y
since Apr 9, 2009
In the industry
44 y
since Jun 24, 1982 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- U•• F•••••••• S••••••• I••• wirehouse currentsince Apr 9, 2009 · Houston, Tx
- C•••••••• G••••• M•••••• I••• BD affiliatedAug 1, 1988 to Apr 27, 2009 · Houston, Tx
Moves
a registration end followed by a registration begin elsewhere
- C•••••••• G••••• M•••••• I••• to U•• F•••••••• S••••••• I•••left Apr 27, 2009, registered Apr 9, 2009 (-18 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 44derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address