DFX Intelligence
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Registered advisor
A•••• A• C•••••
Feed of 09/14/2026
Also filed as A•••• A••• B•••••••••
At current firm
13 y
since Jun 18, 2013
In the industry
17 y
since Aug 27, 2009 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• national BD currentsince Jun 18, 2013 · Paramus, Nj
- T• A••••••••• I••• formerJul 29, 2022 to Oct 14, 2022 · Omaha, Ne
- U•• F•••••••• S••••••• I••• wirehouseAug 28, 2009 to May 8, 2013 · Weehawken, Nj
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••• to no registered destinationleft Oct 14, 2022 · Departure, no registered destination
- U•• F•••••••• S••••••• I••• to C•••••• S••••• • C••• I•••left May 8, 2013, registered Jun 18, 2013 (41 days) · Wirehouse to affiliated broker-dealer or bank
Signals
- ••• LockedOct 14, 2022 · Advisor departure · fact
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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address