DFX Intelligence
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Registered advisor
O••••• D•• C••••• C••••••••
Feed of 09/14/2026
Also filed as O••••• D•• C••••• G••••••••• C••••••••• S••••••••• D•• C••••• C••••••••• D• C••••••••
At current firm
2 y
since Nov 16, 2023
In the industry
25 y
since Oct 1, 2000 (earliest exam, job or registration)
Prior registered firms
7
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
3
dated events on this person
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince Nov 16, 2023 · Miami, Fl
- M••••• S•••••• wirehouseSep 9, 2022 to Oct 17, 2023 · Miami, Fl
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 16, 2022 to Jul 7, 2022 · Miami, Fl
- W•••• F•••• A••••••• wirehouseDec 16, 2011 to Jan 27, 2022 · Miami, Fl
- C•••••••• G••••• M•••••• I••• BD affiliatedAug 1, 2011 to Dec 14, 2011 · Miami, Fl
- W•••• F•••• A••••••• wirehouseFeb 5, 2007 to Jun 1, 2011 · Miami, Fl
All 7 prior registrationsShow fewer
- C••••••• I••••••••• S••••••• unclassifiedOct 30, 2006 to Dec 7, 2006 · Miami, Fl
- W•••• F•••• A••••••• wirehouseOct 1, 2000 to Oct 2, 2006 · Miami, Fl
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to W•••• F•••• A•••••••left Oct 17, 2023, registered Nov 16, 2023 (30 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jul 7, 2022, registered Sep 9, 2022 (64 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- W•••• F•••• A••••••• to C•••••••• G••••• M•••••• I•••left Jan 27, 2022, registered May 16, 2022 (109 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••••• G••••• M•••••• I••• to W•••• F•••• A•••••••left Dec 14, 2011, registered Dec 16, 2011 (2 days) · Other
- W•••• F•••• A••••••• to C•••••••• G••••• M•••••• I•••left Jun 1, 2011, registered Aug 1, 2011 (61 days) · Other
All 7 movesShow fewer
- C••••••• I••••••••• S••••••• to W•••• F•••• A•••••••left Dec 7, 2006, registered Feb 5, 2007 (60 days) · Other
- W•••• F•••• A••••••• to C••••••• I••••••••• S•••••••left Oct 2, 2006, registered Oct 30, 2006 (28 days) · Other
Signals
- ••• LockedOct 17, 2023 · Advisor changed firm · fact
- ••• LockedJul 7, 2022 · Advisor changed firm · fact
- ••• LockedJan 27, 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
- Wirehousederived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address