DFX Intelligence
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Registered advisor
E••• S•••••• D•••
Feed of 09/14/2026
At current firm
8 y
since May 20, 2018
In the industry
39 y
since Aug 7, 1987 (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
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
- R•• C•••••• M••••••• L•• national BD currentsince May 20, 2018 · Boca Raton, Fl
- W•••• F•••• A••••••• wirehouseMar 5, 2009 to May 23, 2018 · Boca Raton, Fl
- J••••• M••••••••• S•••• L•• BD affiliatedJun 7, 2005 to Mar 10, 2009 · Boca Raton, Fl
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to R•• C•••••• M••••••• L••left May 23, 2018, registered May 20, 2018 (-3 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- J••••• M••••••••• S•••• L•• to W•••• F•••• A•••••••left Mar 10, 2009, registered Mar 5, 2009 (-5 days) · Other
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
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address