DFX Intelligence
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Registered advisor
B•••• S• E•••••
Feed of 09/14/2026
At current firm
10 y
since Jul 5, 2016
In the industry
38 y
since Dec 1, 1987 (earliest exam, job or registration)
Prior registered firms
1
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
0
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Jul 5, 2016 · Ocean View, De
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedFeb 8, 2000 to Apr 25, 2016 · Waldorf, Md
Moves
a registration end followed by a registration begin elsewhere
- T••••••••• F•••••••• A•••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Apr 25, 2016, registered Jul 5, 2016 (71 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address