DFX Intelligence
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Registered advisor
B•••• C••••••••• D•••••
Feed of 09/14/2026
Also filed as B•••• C• D••••••••• C•••• D••••••• C••••••••• D••••••••• D•••••
At current firm
20 y
since Mar 10, 2006
In the industry
26 y
since Jul 26, 2000 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
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
- E•••••••• A•••••••• L•• national BD currentsince Mar 10, 2006 · Lexington, Ky
- P•• W••••• M••••••••• BD affiliatedJan 1, 2004 to Mar 29, 2006 · Louisville, Ky
- J••••• H•••••••• W••• L••••• L•• formerJun 3, 2003 to Jan 1, 2004 · Louisville, Ky
Moves
a registration end followed by a registration begin elsewhere
- P•• W••••• M••••••••• to E•••••••• A•••••••• L••left Mar 29, 2006, registered Mar 10, 2006 (-19 days) · Other
- J••••• H•••••••• W••• L••••• L•• to P•• W••••• M•••••••••left Jan 1, 2004, registered Jan 1, 2004 (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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address