DFX Intelligence
RIA Intelligence
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Registered advisor
D•••• C•••••• L••••••
Feed of 09/14/2026
At current firm
5 y
since Aug 30, 2021
In the industry
26 y
since Mar 30, 2000 (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, 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
- P•• W••••• M••••••••• BD affiliated currentsince Aug 30, 2021 · Scottsdale, Az
- P•• M•••••• A•••••• S••••••••• I••• formerFeb 10, 2015 to Aug 23, 2021 · Phoenix, Az
- B••• O•• S••••••••• C••••••••• unclassifiedOct 30, 2002 to Oct 2, 2003 · Phoenix, Az
Moves
a registration end followed by a registration begin elsewhere
- P•• M•••••• A•••••• S••••••••• I••• to P•• W••••• M•••••••••left Aug 23, 2021, registered Aug 30, 2021 (7 days) · corporate re-registration, not a move
- B••• O•• S••••••••• C••••••••• to P•• M•••••• A•••••• S••••••••• I•••left Oct 2, 2003, registered Feb 10, 2015 (4149 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address