DFX Intelligence
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Registered advisor
D••• C••••••• P•••••••
Feed of 09/14/2026
At current firm
2 y
since Mar 25, 2024
In the industry
30 y
since Dec 12, 1995 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65, S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Mar 25, 2024 · Vero Beach, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 25, 2016 to Mar 26, 2024 · Port Saint Lucie, Fl
- V•• K••••• A••••••• I•• unclassifiedApr 23, 2004 to Mar 10, 2005 · Oakbrook Terrace, Il
- I•••••• unclassifiedMar 21, 2003 to Jul 10, 2003 · Denver, Co
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••left Mar 26, 2024, registered Mar 25, 2024 (-1 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- V•• K••••• A••••••• I•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 10, 2005, registered Jul 25, 2016 (4155 days) · Other
- I•••••• to V•• K••••• A••••••• I••left Jul 10, 2003, registered Apr 23, 2004 (288 days) · Other
Signals
- ••• LockedMar 26, 2024 · Advisor changed firm · fact
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address