DFX Intelligence
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C•••••••• B• K••••
As of · the IAPD feed; also filed as C•••••••• A•• B••••••••• K••••
- In the industry
- 26 y
- Prior registered firms
- 1
- Signals
- 0
As of · the IAPD feed; also filed as C•••••••• A•• B••••••••• K••••
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S65
IA exams only
Registration history
IAPD current and previous registrations
- L•• E••••••••• L•• BD affiliated currentsince Jul 29, 2026 · Auburn, Me
- M••••• S•••••• D• I••• unclassifiedMay 8, 2000 to Aug 29, 2005 · Cape Coral, Fl
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• D• I••• to L•• E••••••••• L••left Aug 29, 2005, registered Jul 29, 2026 (7639 days) · Other
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address