DFX Intelligence
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Registered advisor
W•••••• C•••••• A•••••
Feed of 09/15/2026
Also filed as B••• A•••••
At current firm
17 y
since Jul 2, 2009
In the industry
41 y
since Apr 19, 1985 (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
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jul 2, 2009 · Portland, Me
- U•• F•••••••• S••••••• I••• wirehouseSep 25, 2002 to Jul 22, 2009 · Portland, Me
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Jul 22, 2009, registered Jul 2, 2009 (-20 days) · Wirehouse to affiliated broker-dealer or bank
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
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address