DFX Intelligence
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Registered advisor
D•••• M•••••• B••••
Feed of 09/14/2026
Also filed as D•• B••••••••• M• B••••••••• B••••
At current firm
11 y
since Dec 12, 2014
In the industry
44 y
since Jul 1, 1982 (earliest exam, job or registration)
Prior registered firms
2
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
- W•••• F•••• A••••••• wirehouse currentsince Dec 12, 2014 · Georgetown, Tx
- R•••••• J•••• • A••••••••• I••• national BDJul 29, 2004 to Dec 17, 2014 · Austin, Tx
- L••• M•••• W••• W•••••• I••••••••• unclassifiedNov 21, 2001 to Jul 13, 2004 · Austin, Tx
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• • A••••••••• I••• to W•••• F•••• A•••••••left Dec 17, 2014, registered Dec 12, 2014 (-5 days) · Affiliated broker-dealer or bank to wirehouse
- L••• M•••• W••• W•••••• I••••••••• to R•••••• J•••• • A••••••••• I•••left Jul 13, 2004, registered Jul 29, 2004 (16 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