DFX Intelligence
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Registered advisor
N••• V••••••• C•••••
Feed of 09/14/2026
At current firm
7 y
since Mar 4, 2019
In the industry
36 y
since Jan 8, 1990 (earliest exam, job or registration)
Prior registered firms
3
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
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Mar 4, 2019 · Austin, Tx
- M••••• S•••••• wirehouseJun 1, 2009 to Feb 19, 2019 · Las Vegas, Nv
- M••••• S•••••• • C•• L•• unclassifiedAug 1, 2008 to Jun 1, 2009 · Las Vegas, Nv
- W•••• F•••• A••••••• wirehouseMay 13, 2003 to Aug 5, 2008 · Las Vegas, Nv
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to A••••••••• F•••••••• S•••••••• L••left Feb 19, 2019, registered Mar 4, 2019 (13 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to M••••• S•••••• • C•• L••left Aug 5, 2008, registered Aug 1, 2008 (-4 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
- National broker-dealer RIAderived
- Years in industry
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address