DFX Intelligence
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W•••••• C••• W••••
Registered advisorat S•••••• N••••••• • C••••••• I•••••••••Dual registrant· Fort Myers, FlIAPD 1461923
As of · the IAPD feed
- At current firm
- 5 y
- In the industry
- 40 y
- Prior registered firms
- 4
- Signals
- 0
since Sep 13, 2021
As of · the IAPD feed
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Registration history
IAPD current and previous registrations
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Sep 13, 2021 · Fort Myers, Fl
- U•• F•••••••• S••••••• I••• wirehouseNov 28, 2011 to Sep 22, 2021 · Bonita Springs, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Nov 21, 2011 · Bonita Springs, Fl
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedMay 31, 2005 to Oct 23, 2009 · Ft. Myers, Fl
- M••••• S•••••• D• I••• unclassifiedJul 14, 2000 to Jun 3, 2005 · Ft. Myers, Fl
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Sep 22, 2021, registered Sep 13, 2021 (-9 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Nov 21, 2011, registered Nov 28, 2011 (7 days) · Wirehouse to wirehouse
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Jun 3, 2005, registered May 31, 2005 (-3 days) · Other
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
- National broker-dealer RIAderived
- Years in industry
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, the raw outside business text and any address in it, personal outside activities, branch street addressoutside businesses appear above as structured facts, reviewed, with a short quote