DFX Intelligence
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Registered advisor
E••••• C•••••• B••••••
Certified Financial Planner · Chartered Financial Consultant
Feed of 09/14/2026
Also filed as E• B••••••••• B••••••••• B••••••
At current firm
1 y
since Nov 19, 2024
In the industry
30 y
since Jan 18, 1996 (earliest exam, job or registration)
Prior registered firms
5
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Nov 19, 2024 · Vero Beach, Fl
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedJun 20, 2019 to Dec 3, 2024 · Vero Beach, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 1, 2013 to May 28, 2019 · Vero Beach, Fl
- M••••• S•••••• wirehouseJun 1, 2011 to Mar 12, 2013 · Vero Beach, Fl
- W••••••• F•••••••• S•••••••• I••• formerMay 30, 2008 to May 24, 2011 · Vero Beach, Fl
- E•••••••• A•••••••• L•• national BDJan 18, 1996 to May 28, 2008 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- C•••••••• I••••••••• R••••••• A•••••••• I••• to L•• F•••••••• L••left Dec 3, 2024, registered Nov 19, 2024 (-14 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left May 28, 2019, registered Jun 20, 2019 (23 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 12, 2013, registered Mar 1, 2013 (-11 days) · Wirehouse to wirehouse
- W••••••• F•••••••• S•••••••• I••• to M••••• S••••••left May 24, 2011, registered Jun 1, 2011 (8 days) · Other
- E•••••••• A•••••••• L•• to W••••••• F•••••••• S•••••••• I•••left May 28, 2008, registered May 30, 2008 (2 days) · Other
Signals
- ••• LockedDec 3, 2024 · Advisor changed firm · fact
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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address