DFX Intelligence
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T•••••• T•••••• H•••••
Registered advisorat C•••••••• I••••••••• R••••••• A•••••••• I•••Dual registrant· Crofton, MdIAPD 1848524
As of · the IAPD feed; also filed as T•••• H••••••••• H•••••
- At current firm
- 4 y
- In the industry
- 32 y
- Prior registered firms
- 2
- Signals
- 1
since Nov 2, 2021
As of · the IAPD feed; also filed as T•••• H••••••••• H•••••
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Registration history
IAPD current and previous registrations
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Nov 2, 2021 · Crofton, Md
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedSep 8, 2016 to Jan 16, 2017 · Crofton, Md
- F•••••••• D••••••••• L•• unclassifiedMar 23, 1994 to Mar 17, 2022 · Crofton, Md
Moves
a registration end followed by a registration begin elsewhere
- F•••••••• D••••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Mar 17, 2022, registered Nov 2, 2021 (-135 days) · Other
Signals
- ••• LockedMar 17, 2022 · Advisor changed firm · fact
Transition signals
No combined mobility score is published yet. The signals above are on record, each with its own history and base rate.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address