DFX Intelligence
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Registered advisor
C•••• B••••••• S••••
Feed of 09/14/2026
Also filed as C•••• B••••••• S••••••••• B••••••• S••••••••• B••••••• S••••••••• S••••••••• B••••••• S•••• I••
At current firm
5 y
since May 7, 2021
In the industry
28 y
since May 26, 1998 (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
0
dated events on this person
Registration history
IAPD current and previous registrations
- M••••• S•••••• wirehouse currentsince May 7, 2021 · Fort Lauderdale, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 14, 2019 to May 11, 2021 · Fort Lauderdale, Fl
- U•• F•••••••• S••••••• I••• wirehouseMay 18, 2011 to Feb 15, 2019 · Ft. Lauderdale, Fl
- W•••• F•••• A••••••• wirehouseMar 31, 2008 to Jan 6, 2010 · Fort Lauderdale, Fl
- C•••••••• G••••• M•••••• I••• BD affiliatedMar 21, 2007 to Nov 12, 2007 · Ft. Lauderdale, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 12, 1998 to May 27, 2005 · Aventura, Fl
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left May 11, 2021, registered May 7, 2021 (-4 days) · Wirehouse to wirehouse · moved with a team
- U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 15, 2019, registered Mar 14, 2019 (27 days) · Wirehouse to wirehouse
- W•••• F•••• A••••••• to U•• F•••••••• S••••••• I•••left Jan 6, 2010, registered May 18, 2011 (497 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to W•••• F•••• A•••••••left Nov 12, 2007, registered Mar 31, 2008 (140 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• G••••• M•••••• I•••left May 27, 2005, registered Mar 21, 2007 (663 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
- Wirehousederived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address