DFX Intelligence
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Registered advisor
C•••••••• A•••••••• D•••••••••
Feed of 09/14/2026
Also filed as C•••••••• A••••••• Z••••••••• S••••••••• Z••••••••• D••••••••• A••••••• Z••••••••• A••••••• D••••••••• A••••••• D•••••••••
At current firm
9 y
since Oct 28, 2016
In the industry
27 y
since Sep 9, 1999 (earliest exam, job or registration)
Prior registered firms
2
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 Oct 28, 2016 · Austin, Tx
- S••••• W••••• A•••••••• I••• no RAUMJan 3, 2012 to Mar 26, 2013 · Phoenix, Az
- C•••••• S••••• • C••• I••• national BDApr 25, 2007 to Oct 7, 2016 · Phoenix, Az
Moves
a registration end followed by a registration begin elsewhere
- S••••• W••••• A•••••••• I••• to C•••••• S••••• • C••• I•••left Mar 26, 2013, registered Oct 28, 2016 (1312 days) · channel change inside one enterprise, 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