DFX Intelligence
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Registered advisor
D•••• M•••••• C••••••
Feed of 09/14/2026
Also filed as D•••• M• C••••••••• C••••••
At current firm
14 y
since Sep 6, 2012
In the industry
27 y
since May 10, 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 Sep 6, 2012 · Lone Tree, Co
- A••••••••• F•••••••• S•••••••• L•• national BDDec 16, 2009 to Dec 31, 2010 · Minneapolis, Mn
- C•••• I••••••••• S••••••• C•••• formerMay 2, 2009 to Jul 31, 2009 · Irvine, Ca
- W••• I••••••••• I••• unclassifiedDec 16, 2008 to May 2, 2009 · Irvine, Ca
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• F•••••••• S•••••••• L•• to C•••••• S••••• • C••• I•••left Dec 31, 2010, registered Sep 6, 2012 (615 days) · Affiliated broker-dealer or bank to another
- C•••• I••••••••• S••••••• C•••• to A••••••••• F•••••••• S•••••••• L••left Jul 31, 2009, registered Dec 16, 2009 (138 days) · Other
- W••• I••••••••• I••• to C•••• I••••••••• S••••••• C••••left May 2, 2009, registered May 2, 2009 (0 days) · corporate re-registration, not a move
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