DFX Intelligence
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Registered advisor
D••••• P•••• F•••
Feed of 09/14/2026
Also filed as D••••• P•••• F••••••••• F••••••••• P•••• F•••
At current firm
8 y
since Mar 9, 2018
In the industry
37 y
since Jun 22, 1989 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
3
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
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Mar 9, 2018 · Morristown, Nj
- P•••• S••••••••• L•• no RAUMNov 7, 2017 to Jan 26, 2018 · Irvine, Ca
Moves
a registration end followed by a registration begin elsewhere
- P•••• S••••••••• L•• to S•••••• N••••••• • C••••••• I•••••••••left Jan 26, 2018, registered Mar 9, 2018 (42 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
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address