DFX Intelligence
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Registered advisor
D•••• G••••• B•••••••
Feed of 09/14/2026
Also filed as N••••••••• E• B••••••
At current firm
16 y
since Oct 9, 2009
In the industry
34 y
since Jun 10, 1992 (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
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
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Oct 9, 2009 · Tampa, Fl
- F•••••••• B•••••• S••••••• C••••••••• unclassifiedJan 1, 2010 to Feb 8, 2019 · Portland, Me
- U•• F•••••••• S••••••• I••• wirehouseAug 19, 2002 to Oct 14, 2009 · Portland, Me
Moves
a registration end followed by a registration begin elsewhere
- F•••••••• B•••••• S••••••• C••••••••• to no registered destinationleft Feb 8, 2019 · Departure, no registered destination
- U•• F•••••••• S••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Oct 14, 2009, registered Oct 9, 2009 (-5 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address