DFX Intelligence
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Registered advisor
S•••••• B•••••••
Feed of 09/14/2026
Also filed as S•••• B•••••••
At current firm
10 y
since Aug 24, 2016
In the industry
25 y
since Feb 13, 2001 (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, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Aug 24, 2016 · Coral Gables, Fl
- S••••••• I••••••••• S•••••••• I••• formerMar 11, 2013 to Apr 18, 2013 · Miami, Fl
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Mar 6, 2013 · Miami, Fl
- C•••• I••••••••• S••••••• C•••• formerAug 18, 2009 to Oct 1, 2012 · Miami, Fl
- W•••• F•••• A••••••• wirehouseJan 1, 2008 to Jul 24, 2009 · Coral Gables, Fl
- A• G• E•••••• • S•••• I••• unclassifiedOct 31, 2003 to Jan 1, 2008 · Coral Gables, Fl
Moves
a registration end followed by a registration begin elsewhere
- S••••••• I••••••••• S•••••••• I••• to T••••• A••••••• S•••••••• I•••left Apr 18, 2013, registered Aug 24, 2016 (1224 days) · Other
- J••• M••••• S••••••••• L•• to S••••••• I••••••••• S•••••••• I•••left Mar 6, 2013, registered Mar 11, 2013 (5 days) · Other
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to C•••• I••••••••• S••••••• C••••left Jul 24, 2009, registered Aug 18, 2009 (25 days) · Other
- A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The 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.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address