DFX Intelligence
RIA Intelligence
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Registered advisor
D••••• T••• I••••••••
Feed of 09/14/2026
At current firm
3 y
since May 26, 2023
In the industry
27 y
since Mar 29, 1999 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
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 May 26, 2023 · Phoenix, Az
- U••• I••••••••• S••••••• C•••••• no RAUMJan 8, 2018 to May 24, 2020 · Phoenix, Az
- U••• F•••••••• P••••••• S••••••• formerApr 3, 2013 to Jan 8, 2018 · Phoenix, Az
- U••• I••••••••• S••••••• C•••••• no RAUMAug 8, 2007 to Apr 5, 2013 · Phoenix, Az
Moves
a registration end followed by a registration begin elsewhere
- U••• I••••••••• S••••••• C•••••• to C•••••• S••••• • C••• I•••left May 24, 2020, registered May 26, 2023 (1097 days) · corporate re-registration, not a move
- U••• F•••••••• P••••••• S••••••• to U••• I••••••••• S••••••• C••••••left Jan 8, 2018, registered Jan 8, 2018 (0 days) · corporate re-registration, not a move
- U••• I••••••••• S••••••• C•••••• to U••• F•••••••• P••••••• S•••••••left Apr 5, 2013, registered Apr 3, 2013 (-2 days) · corporate re-registration, not a move
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The 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.
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