DFX Intelligence
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Registered advisor
P••• D•••••••••
Feed of 09/15/2026
Also filed as P••• D•••••••••
At current firm
7 y
since Sep 4, 2019
In the industry
27 y
since Sep 22, 1999 (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
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
- C•••••• S••••• • C••• I••• national BD currentsince Sep 4, 2019 · Edwards, Il
- M••••• S•••••• wirehouseJun 1, 2009 to Aug 16, 2019 · Peoria, Il
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Peoria, Il
- M••••• S•••••• D• I••• unclassifiedFeb 3, 2004 to Apr 2, 2007 · Oak Brook, Il
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to C•••••• S••••• • C••• I•••left Aug 16, 2019, registered Sep 4, 2019 (19 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address