DFX Intelligence
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Registered advisor
D•••• A• S•••••
Feed of 09/15/2026
Also filed as D•••• A• S••••••••• A••• S•••••
At current firm
1 y
since Mar 31, 2025
In the industry
28 y
since Jun 17, 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
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Weston, Fl
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Mar 31, 2025 · Boston, Ma
- S•••••••• A••••••• L•• national BDMay 21, 2012 to Jul 13, 2018 · Aventura, Fl
- M•• F•••••••• S•••••••• I••• formerMay 13, 2010 to Jun 24, 2011 · Fort Lauderdale, Fl
- W•••• F•••• A••••••• wirehouseApr 16, 2004 to Dec 31, 2009 · Fort Lauderdale, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 17, 1998 to Apr 6, 2004 · Aventura, Fl
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- M•• F•••••••• S•••••••• I••• to S•••••••• A••••••• L••left Jun 24, 2011, registered May 21, 2012 (332 days) · Other
- W•••• F•••• A••••••• to M•• F•••••••• S•••••••• I•••left Dec 31, 2009, registered May 13, 2010 (133 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Apr 6, 2004, registered Apr 16, 2004 (10 days) · Wirehouse to wirehouse
Signals
No dated event on this person.
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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address