DFX Intelligence
RIA Intelligence
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Registered advisor
R•••••• D• D••••••
Feed of 09/15/2026
Also filed as R•••••• Dell D••••••
At current firm
10 y
since Sep 15, 2016
In the industry
34 y
since Jul 28, 1992 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Sep 15, 2016 · Austin, Tx
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Sep 7, 2016 · Austin, Tx
- P••••••••• E••••• G••••• L•• unclassifiedMar 30, 2001 to Jul 1, 2003 · Austin, Tx
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••left Sep 7, 2016, registered Sep 15, 2016 (8 days) · Wirehouse to affiliated broker-dealer or bank
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move
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
- National broker-dealer RIAderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address