DFX Intelligence
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Registered advisor
B•••• E••••• B•••
Feed of 09/14/2026
Also filed as B•••• B•••
At current firm
1 y
since Dec 23, 2024
In the industry
37 y
since Oct 17, 1988 (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
S66, 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
- C•••••• S••••• • C••• I••• national BD currentsince Dec 23, 2024 · Westlake, Tx
- C•••••• S••••• • C••• I••• national BDJan 4, 2013 to Jan 10, 2024 · Indianapolis, In
- T• A••••••••• I••••••••• M••••••••• L•• formerMay 17, 2006 to Sep 20, 2012 · Northbrook, Il
- T• A••••••••• I••• formerSep 12, 2005 to Sep 20, 2012 · Fort Worth, Tx
- C•••••• S••••• • C••• I••• national BDJan 30, 2003 to Jun 21, 2005 · Fishers (Indianapolis), In
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Sep 20, 2012, registered Jan 4, 2013 (106 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Sep 20, 2012, registered May 17, 2006 (-2318 days) · channel change inside one enterprise, not a move
- C•••••• S••••• • C••• I••• to T• A••••••••• I•••left Jun 21, 2005, registered Sep 12, 2005 (83 days) · Affiliated broker-dealer or bank to a newly registered adviser
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
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address