DFX Intelligence
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Registered advisor
D•••• L•••• A••••••
Feed of 09/14/2026
Also filed as D•••• L•••• H••••••
At current firm
15 y
since Jan 3, 2011
In the industry
33 y
since Jan 29, 1993 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
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 Jan 3, 2011 · Prescott, Az
- W•••• F•••• I••••••••• L•• unclassifiedMar 13, 2008 to Jan 3, 2011 · Tucson, Az
- W•••• F•••• A••••••• wirehouseFeb 26, 2008 to Feb 26, 2008 · Prescott, Az
- W•••• F•••• I••••••••• L•• unclassifiedJan 30, 2003 to Feb 20, 2008 · Prescott, Az
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to W•••• F•••• I••••••••• L••left Feb 26, 2008, registered Mar 13, 2008 (16 days) · Other
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Feb 20, 2008, registered Feb 26, 2008 (6 days) · Other
Signals
No dated event on this person.
Transition signals
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