DFX Intelligence
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Registered advisor
Y•• B•••••••••
Feed of 09/15/2026
Also filed as Y•• L•
At current firm
16 y
since Oct 5, 2009
In the industry
29 y
since Nov 21, 1996 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
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 Oct 5, 2009 · Warrenville, Il
- A••••••••• A•••••• S•••••••• I••• unclassifiedJun 30, 2003 to Oct 5, 2009 · St. Charles, Il
- C•••••• L•• independent RIAMar 6, 2003 to Jul 9, 2003 · St. Charles, Il
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• A•••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Oct 5, 2009, registered Oct 5, 2009 (0 days) · corporate re-registration, not a move
- C•••••• L•• to A••••••••• A•••••• S•••••••• I•••left Jul 9, 2003, registered Jun 30, 2003 (-9 days) · corporate re-registration, not a move
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
- National broker-dealer RIAderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address