DFX Intelligence
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Registered advisor
E••••• A•• R•••••••
Feed of 09/14/2026
Also filed as E••••• A•• K••••••••• A•• R••••••••• R•••••••
At current firm
4 y
since May 19, 2022
In the industry
19 y
since Feb 2, 2007 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
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
- L•• F•••••••• L•• BD affiliated currentsince May 19, 2022 · Miramar, Fl
- C••• B•••••••• S•••••••• I••• formerNov 20, 2015 to May 24, 2022 · Hollywood, Fl
- L•• F•••••••• L•• BD affiliatedMay 11, 2010 to Mar 2, 2011 · Fort Lauderdale, Fl
- L•• F•••••••• L•• BD affiliatedFeb 19, 2009 to Oct 6, 2009 · Sunrise, Fl
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedJun 20, 2008 to Feb 9, 2009 · Coral Gables, Fl
- W•••• F•••• A••••••• wirehouseFeb 2, 2007 to Jul 10, 2007 · Deerfield Beach, Fl
Moves
a registration end followed by a registration begin elsewhere
- C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••left May 24, 2022, registered May 19, 2022 (-5 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to C••• B•••••••• S•••••••• I•••left Mar 2, 2011, registered Nov 20, 2015 (1724 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to L•• F•••••••• L••left Feb 9, 2009, registered Feb 19, 2009 (10 days) · Other
- W•••• F•••• A••••••• to U•••• F•••••••• S••••••• G••••• I•••left Jul 10, 2007, registered Jun 20, 2008 (346 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