DFX Intelligence
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Registered advisor
B•••• E••••• A•••••
Feed of 09/14/2026
Also filed as B•••• E••••• A•••••
At current firm
7 y
since Nov 20, 2018
In the industry
27 y
since Mar 4, 1999 (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
0
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Nov 20, 2018 · San Diego, Ca
- B• • C• W••••• M••••••••• unclassifiedMay 6, 2008 to Aug 22, 2011 · San Diego, Ca
- S•••••••• F••••••••• I••• formerMay 5, 2008 to Nov 23, 2018 · San Diego, Ca
- L•• F•••••••• L•• BD affiliatedAug 7, 2002 to Nov 7, 2003 · La Jolla, Ca
Moves
a registration end followed by a registration begin elsewhere
- S•••••••• F••••••••• I••• to L•• F•••••••• L••left Nov 23, 2018, registered Nov 20, 2018 (-3 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- B• • C• W••••• M••••••••• to L•• F•••••••• L••left Aug 22, 2011, registered Nov 20, 2018 (2647 days) · Other
- L•• F•••••••• L•• to S•••••••• F••••••••• I•••left Nov 7, 2003, registered May 5, 2008 (1641 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address