DFX Intelligence
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Registered advisor
D•••• A• W•••••
Feed of 09/14/2026
Also filed as D•••• A••••• W••••••••• A••••• W••••••••• W••••••••• A• W••••••••• A• W••••• I••••••• A• W••••••••• W•••••
At current firm
2 y
since May 31, 2024
In the industry
33 y
since Nov 16, 1992 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince May 31, 2024 · Ormond Beach, Fl
- M••••• S•••••• wirehouseJun 1, 2009 to Jun 5, 2024 · Ormond Beach, Fl
- C•••••••• G••••• M•••••• I••• BD affiliatedMar 16, 2009 to Jun 1, 2009 · Ormond Beach, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 12, 1994 to Mar 10, 2009 · Daytona Beach, Fl
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to W•••• F•••• A•••••••left Jun 5, 2024, registered May 31, 2024 (-5 days) · Wirehouse to wirehouse · moved with a team
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• G••••• M•••••• I•••left Mar 10, 2009, registered Mar 16, 2009 (6 days) · Other
Signals
- ••• LockedJun 5, 2024 · Advisor changed firm · fact
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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address