DFX Intelligence
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Registered advisor
B•••• C••••••••• C••••••
Certified Financial Planner
Feed of 09/14/2026
At current firm
4 y
since Aug 30, 2022
In the industry
28 y
since Apr 29, 1998 (earliest exam, job or registration)
Prior registered firms
4
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- R•• C•••••• M••••••• L•• national BD currentsince Aug 30, 2022 · Winter Park, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 10, 2009 to Aug 31, 2022 · Winter Park, Fl
- M••••• S•••••• wirehouseJun 1, 2009 to Aug 10, 2009 · Orlando, Fl
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Orlando, Fl
- M••••• S•••••• D• I••• unclassifiedApr 29, 1998 to Apr 2, 2007 · Orlando, Fl
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•• C•••••• M••••••• L••left Aug 31, 2022, registered Aug 30, 2022 (-1 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 10, 2009, registered Aug 10, 2009 (0 days) · Wirehouse to wirehouse
- 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
- ••• LockedAug 31, 2022 · Advisor changed firm · fact
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
- National broker-dealer RIAderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address