DFX Intelligence
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Registered advisor
D••••• B•••• C••••••••
Feed of 09/14/2026
Also filed as B•••• C••••••••
At current firm
14 y
since Aug 17, 2012
In the industry
27 y
since Mar 18, 1999 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, 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
- C•••••• S••••• • C••• I••• national BD currentsince Aug 17, 2012 · Austin, Tx
- R•• C•••••• M••••••• L•• national BDSep 16, 2004 to Aug 9, 2012 · Eau Claire, Wi
Moves
a registration end followed by a registration begin elsewhere
- R•• C•••••• M••••••• L•• to C•••••• S••••• • C••• I•••left Aug 9, 2012, registered Aug 17, 2012 (8 days) · Affiliated broker-dealer or bank to another
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
- 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