DFX Intelligence
RIA Intelligence
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Registered advisor
D••••••• D••••• M•••••••
Feed of 09/15/2026
Also filed as D••••••• D Asta
At current firm
2 y
since Jun 14, 2024
In the industry
19 y
since Sep 17, 2007 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- O•••• W•••••• I••• BD affiliated currentsince Jun 14, 2024 · Pembroke Pines, Fl
- S••••••••• A•••••• A•••••••• I••• formerJul 17, 2020 to Jun 14, 2024 · Fort Lauderdale, Fl
- I••••••••• A••••••• S••••••• I•• formerSep 28, 2016 to Jul 17, 2020 · Fort Lauderdale, Fl
- I••••••••• A••••••• S••••••• I•• formerMar 6, 2014 to Oct 21, 2014 · Fort Lauderdale, Fl
- R•••••• J•••• • A••••••••• I••• national BDJun 15, 2011 to Sep 28, 2012 · Coral Gables, Fl
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedSep 17, 2009 to Jun 1, 2011 · Riverhead, Ny
Moves
a registration end followed by a registration begin elsewhere
- S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
- I••••••••• A••••••• S••••••• I•• to S••••••••• A•••••• A•••••••• I•••left Jul 17, 2020, registered Jul 17, 2020 (0 days) · corporate re-registration, not a move
- R•••••• J•••• • A••••••••• I••• to I••••••••• A••••••• S••••••• I••left Sep 28, 2012, registered Mar 6, 2014 (524 days) · Other
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to R•••••• J•••• • A••••••••• I•••left Jun 1, 2011, registered Jun 15, 2011 (14 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The 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.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address