DFX Intelligence
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Registered advisor
S•••• B••••
Feed of 09/14/2026
Also filed as S•••• A••••• B••••
At current firm
4 y
since Jul 14, 2022
In the industry
27 y
since Nov 16, 1998 (earliest exam, job or registration)
Prior registered firms
4
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
- W•••• F•••• A••••••• wirehouse currentsince Jul 14, 2022 · Baton Rouge, La
- W•••• F•••• A••••••• wirehouseMar 13, 2009 to Jul 14, 2022 · Baton Rouge, La
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2008 to Apr 6, 2009 · Baton Rouge, La
- J••• M••••• S••••••••• I••• unclassifiedSep 27, 2006 to Oct 1, 2008 · Baton Rouge, La
- B••• O•• S••••••••• C••••••••• unclassifiedNov 25, 1998 to Sep 27, 2006 · Chicago, Il
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to W•••• F•••• A•••••••left Jul 14, 2022, registered Jul 14, 2022 (0 days) · channel change inside one enterprise, not a move · moved with a team
- J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••left Apr 6, 2009, registered Mar 13, 2009 (-24 days) · Wirehouse to wirehouse
- J••• M••••• S••••••••• I••• to J••• M••••• S••••••••• L••left Oct 1, 2008, registered Oct 1, 2008 (0 days) · corporate re-registration, not a move
- B••• O•• S••••••••• C••••••••• to J••• M••••• S••••••••• I•••left Sep 27, 2006, registered Sep 27, 2006 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address