DFX Intelligence
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Registered advisor
D••••• R••••• B•••••
Feed of 09/14/2026
Also filed as D•• B••••••••• B•••••
At current firm
10 y
since Sep 16, 2016
In the industry
30 y
since Oct 11, 1995 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S65, 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
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Sep 16, 2016 · Orlando, Fl
- W•••• F•••• A••••••• wirehouseApr 16, 2010 to Jun 17, 2014 · Orlando, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Apr 5, 2010 · Orlando, Fl
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedNov 14, 2005 to Oct 23, 2009 · Orlando, Fl
- A••••••••• A•••••• S•••••••• I••• unclassifiedMar 17, 2004 to Nov 15, 2005 · Orlando, Fl
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to T••••• A••••••• S•••••••• I•••left Jun 17, 2014, registered Sep 16, 2016 (822 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Apr 5, 2010, registered Apr 16, 2010 (11 days) · Wirehouse to wirehouse
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- A••••••••• A•••••• S•••••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Nov 15, 2005, registered Nov 14, 2005 (-1 days) · Other
Signals
No dated event on this person.
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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address