DFX Intelligence
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Registered advisor
T••••• F•••••• D•••
Feed of 09/15/2026
Also filed as T••••• D••••••••• D•••
At current firm
4 y
since Dec 14, 2021
In the industry
29 y
since Apr 15, 1997 (earliest exam, job or registration)
Prior registered firms
4
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
- W•••• F•••• A••••••• wirehouse currentsince Dec 14, 2021 · Daytona Beach, Fl
- R•••••• J•••• • A••••••••• I••• national BDMar 17, 2021 to Aug 13, 2021 · Orlando, Fl
- C•••••• S••••• • C••• I••• national BDOct 28, 2020 to Mar 12, 2021 · Orlando, Fl
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Jan 22, 2020 · Melbourne, Fl
- P••••••••• E••••• G••••• L•• unclassifiedJul 30, 2002 to Jul 1, 2003 · Red Bank, Nj
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• • A••••••••• I••• to W•••• F•••• A•••••••left Aug 13, 2021, registered Dec 14, 2021 (123 days) · Affiliated broker-dealer or bank to wirehouse
- C•••••• S••••• • C••• I••• to R•••••• J•••• • A••••••••• I•••left Mar 12, 2021, registered Mar 17, 2021 (5 days) · Affiliated broker-dealer or bank to another · moved with a team
- W•••• F•••• A••••••• to C•••••• S••••• • C••• I•••left Jan 22, 2020, registered Oct 28, 2020 (280 days) · Wirehouse to affiliated broker-dealer or bank
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address