DFX Intelligence
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Registered advisor
W•••••• E••• B•••
Feed of 09/15/2026
Also filed as W•••• B••••••••• B••••••••• E••• B•••
At current firm
13 y
since Aug 23, 2013
In the industry
42 y
since Sep 20, 1984 (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
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
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Aug 23, 2013 · Salt Lake City, Ut
- R•• C•••••• M••••••• L•• national BDMar 16, 2000 to Sep 12, 2013 · Salt Lake City, Ut
Moves
a registration end followed by a registration begin elsewhere
- R•• C•••••• M••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Sep 12, 2013, registered Aug 23, 2013 (-20 days) · Affiliated broker-dealer or bank to another
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
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address