DFX Intelligence
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A••••• J••••• M••••
Registered advisorat C•••••••• I••••••••• R••••••• A•••••••• I•••Dual registrant· San Diego, Ca IAPD 3228529
As of · the IAPD feed; also filed as A••••• J••••• M••••
- At current firm
- 7 y
- In the industry
- 27 y
- Prior registered firms
- 3
- Signals
- 0
since Aug 30, 2019
As of · the IAPD feed; also filed as A••••• J••••• M••••
State registrations
1
current, as an IAR
Firms today
2
current registrations
Exams
S65, S63
IA exams only
Registration history
IAPD current and previous registrations
- I••••••••• F•••••••• G••••• L•• BD affiliated currentsince Sep 14, 2026 · Warsaw, In
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Aug 30, 2019 · Warsaw, In
- L•• F•••••••• L•• BD affiliatedApr 6, 2011 to Jul 15, 2019 · Warsaw, In
- P•• W••••• M••••••••• BD affiliatedNov 13, 2009 to Apr 5, 2011 · South Bend, In
- N•••••• I••••••••• I••• unclassifiedMay 16, 2002 to Nov 13, 2009 · Warsaw, In
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Jul 15, 2019, registered Aug 30, 2019 (46 days) · RIA to affiliated broker-dealer or bank
- P•• W••••• M••••••••• to L•• F•••••••• L••left Apr 5, 2011, registered Apr 6, 2011 (1 day) · Other
- N•••••• I••••••••• I••• to P•• W••••• M•••••••••left Nov 13, 2009, registered Nov 13, 2009 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
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, the raw outside business text and any address in it, personal outside activities, branch street addressoutside businesses appear above as structured facts, reviewed, with a short quote