DFX Intelligence
RIA Intelligence
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Registered advisor
D•••••• F••••••••
Feed of 09/14/2026
At current firm
5 y
since Jun 8, 2021
In the industry
26 y
since May 3, 2000 (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
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- R•••••• J•••• • A••••••••• I••• national BD currentsince Jun 8, 2021 · Miami, Fl
- W•••• F•••• A••••••• wirehouseOct 18, 2012 to Jun 14, 2021 · Miami Springs, Fl
- U•• F•••••••• S••••••• I••• wirehouseJan 28, 2011 to Jun 14, 2012 · Miami, Fl
- B••• I••••••••• S•••••••• I••• formerFeb 24, 2010 to Nov 30, 2010 · Miami, Fl
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to R•••••• J•••• • A••••••••• I•••left Jun 14, 2021, registered Jun 8, 2021 (-6 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Jun 14, 2012, registered Oct 18, 2012 (126 days) · Wirehouse to wirehouse
- B••• I••••••••• S•••••••• I••• to U•• F•••••••• S••••••• I•••left Nov 30, 2010, registered Jan 28, 2011 (59 days) · Other
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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address