DFX Intelligence
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Registered advisor
C•••• C•••••• C••••••••
Feed of 09/14/2026
Also filed as C•••• C• C••••••••• C••••••••
At current firm
2 y
since Nov 13, 2023
In the industry
28 y
since Sep 10, 1998 (earliest exam, job or registration)
Prior registered firms
3
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Nov 13, 2023 · Salem, Sd
- O•••• W•••••• I••• BD affiliatedNov 2, 2018 to Nov 8, 2023 · Salem, Sd
- S••••••• I••••••••• I••• formerMay 13, 2016 to Nov 2, 2018 · Salem, Sd
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedOct 3, 2007 to May 13, 2016 · Salem, Sd
Moves
a registration end followed by a registration begin elsewhere
- O•••• W•••••• I••• to A••••••••• F•••••••• S•••••••• L••left Nov 8, 2023, registered Nov 13, 2023 (5 days) · Affiliated broker-dealer or bank to another
- S••••••• I••••••••• I••• to O•••• W•••••• I•••left Nov 2, 2018, registered Nov 2, 2018 (0 days) · corporate re-registration, not a move
- T••••••••• F•••••••• A•••••••• L•• to S••••••• I••••••••• I•••left May 13, 2016, registered May 13, 2016 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedNov 8, 2023 · Advisor changed firm · fact
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