DFX Intelligence
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Registered advisor
C••••••• E••••• B••••••
Feed of 09/16/2026
Also filed as C••••••• E B••••••
At current firm
16 y
since Jun 16, 2010
In the industry
24 y
since Feb 25, 2002 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
4
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
- M••••• S•••••• wirehouse currentsince Jun 16, 2010 · Gulfport, Fl
- M••••• S•••••• • C•• L•• unclassifiedJan 1, 2008 to Dec 3, 2008 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• • C•• L•• to M••••• S••••••left Dec 3, 2008, registered Jun 16, 2010 (560 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
- Wirehousederived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address