DFX Intelligence
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Registered advisor
D•••• B• D•••••
Feed of 09/15/2026
Also filed as D•••• B•••• D••••••••• B• D•••••
At current firm
1 y
since Oct 22, 2024
In the industry
25 y
since Aug 31, 2001 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince Oct 22, 2024 · El Segundo, Ca
- L•• F•••••••• L•• BD affiliatedFeb 9, 2023 to Oct 21, 2024 · San Diego, Ca
- J••• M••••• S••••••••• L•• wirehouseSep 20, 2021 to Jan 21, 2023 · Los Angeles, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerJun 21, 2021 to Sep 13, 2021 · Salt Lake City, Ut
- J••• M••••• S••••••••• L•• wirehouseSep 11, 2018 to Apr 19, 2021 · Canoga Park, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDApr 8, 2008 to Jun 23, 2008 · Beverly Hills, Ca
All 6 prior registrationsShow fewer
- A••••••••• F•••••••• S•••••••• L•• national BDMay 11, 2005 to Dec 6, 2007 · Los Angeles, Ca
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to W•••• F•••• A•••••••left Oct 21, 2024, registered Oct 22, 2024 (1 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- J••• M••••• S••••••••• L•• to L•• F•••••••• L••left Jan 21, 2023, registered Feb 9, 2023 (19 days) · Wirehouse to independent RIA
- F••••••• P••••••• A•• W•••••••• A••••••• to J••• M••••• S••••••••• L••left Sep 13, 2021, registered Sep 20, 2021 (7 days) · Affiliated broker-dealer or bank to wirehouse
- J••• M••••• S••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Apr 19, 2021, registered Jun 21, 2021 (63 days) · Wirehouse to affiliated broker-dealer or bank
- A••••••••• F•••••••• S•••••••• L•• to J••• M••••• S••••••••• L••left Jun 23, 2008, registered Sep 11, 2018 (3732 days) · Affiliated broker-dealer or bank to wirehouse
Signals
- ••• LockedOct 21, 2024 · Advisor changed firm · fact
- ••• LockedJan 21, 2023 · 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
- Wirehousederived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address