DFX Intelligence
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Registered advisor
D•••• E••••• L••••
Feed of 09/14/2026
At current firm
3 y
since Dec 6, 2022
In the industry
31 y
since Jan 23, 1995 (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
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
- L•• F•••••••• L•• BD affiliated currentsince Dec 6, 2022 · San Diego, Ca
- C••••••••• F•••••••• N•••••• national BDMar 6, 2009 to Dec 6, 2022 · Daphne, Al
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 11, 2005 to Mar 12, 2009 · Fairhope, Al
- U•• F•••••••• S••••••• I••• wirehouseMar 30, 2000 to Mar 24, 2005 · Mobile, Al
Moves
a registration end followed by a registration begin elsewhere
- C••••••••• F•••••••• N•••••• to L•• F•••••••• L••left Dec 6, 2022, registered Dec 6, 2022 (0 days) · Affiliated broker-dealer or bank to independent RIA
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••••••• F•••••••• N••••••left Mar 12, 2009, registered Mar 6, 2009 (-6 days) · Wirehouse to affiliated broker-dealer or bank
- U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 24, 2005, registered Mar 11, 2005 (-13 days) · Wirehouse to wirehouse
Signals
- ••• LockedDec 6, 2022 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address