DFX Intelligence
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Registered advisor
C••••••••• D•••••
Feed of 09/14/2026
Also filed as C••••••••• P••• D•••••
At current firm
1 y
since Jul 24, 2025
In the industry
37 y
since Mar 10, 1989 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, 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
- W•••• F•••• A••••••• wirehouse currentsince Jul 24, 2025 · Boca Raton, Fl
- W•••• F•••• A••••••• wirehouseApr 7, 2010 to Jul 24, 2025 · Boca Raton, Fl
- U•• F•••••••• S••••••• I••• wirehouseJan 31, 2006 to Apr 15, 2010 · Boca Raton, Fl
- U•• F•••••••• S••••••• I••• wirehouseFeb 9, 2005 to Jan 26, 2006 · Boca Raton, Fl
- C•••••••• G••••• M•••••• I••• BD affiliatedApr 17, 1991 to Feb 3, 2005 · Boca Raton, Fl
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to W•••• F•••• A•••••••left Jul 24, 2025, registered Jul 24, 2025 (0 days) · channel change inside one enterprise, not a move · moved with a team
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Apr 15, 2010, registered Apr 7, 2010 (-8 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to U•• F•••••••• S••••••• I•••left Feb 3, 2005, registered Feb 9, 2005 (6 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
- Wirehousederived
- Years in industry
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address