DFX Intelligence
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Registered advisor
R••••• D••••• D••••
Feed of 09/14/2026
Also filed as R•• D••••• D••••
At current firm
11 y
since Nov 19, 2014
In the industry
28 y
since Jul 23, 1998 (earliest exam, job or registration)
Prior registered firms
1
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
0
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Nov 19, 2014 · Forest, Va
- C•••••• C••••• I••••••••• A•••••••• I••• unclassifiedJun 19, 2012 to Nov 20, 2014 · Lynchburg, Va
Moves
a registration end followed by a registration begin elsewhere
- C•••••• C••••• I••••••••• A•••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Nov 20, 2014, registered Nov 19, 2014 (-1 days) · Other
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address