DFX Intelligence
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Registered advisor
D•••• C•••• M•••••••
Feed of 09/15/2026
Also filed as D•••• C• M•••••••
At current firm
4 y
since Mar 30, 2022
In the industry
27 y
since Nov 24, 1998 (earliest exam, job or registration)
Prior registered firms
2
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- R•••••• J•••• • A••••••••• I••• national BD currentsince Mar 30, 2022 · St. Petersburg, Fl
- F••••••• P••••••• A•• W•••••••• A••••••• formerDec 15, 2021 to Mar 11, 2022 · Merrimack, Nh
- W•••• F•••• A••••••• wirehouseJan 15, 2013 to Jan 16, 2020 · Charlotte, Nc
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to R•••••• J•••• • A••••••••• I•••left Mar 11, 2022, registered Mar 30, 2022 (19 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Jan 16, 2020, registered Dec 15, 2021 (699 days) · Wirehouse to affiliated broker-dealer or bank
Signals
- ••• LockedMar 11, 2022 · 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address