DFX Intelligence
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Registered advisor
D•••• E••••• C•••••
Feed of 09/15/2026
Also filed as D•••• C••••••••• E••••• C•••••
At current firm
5 y
since Oct 24, 2020
In the industry
22 y
since Nov 3, 2003 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
6
current, as an IAR
Firms today
1
current registrations
Exams
S65, S66, 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
- T• P•••••• C••••• W••••• L•• BD affiliated currentsince Oct 24, 2020 · Vero Beach, Fl
- K•••••• C•••••• M•••••• I••• unclassifiedNov 4, 2003 to May 6, 2004 · North Plam Beach, Fl
Moves
a registration end followed by a registration begin elsewhere
- K•••••• C•••••• M•••••• I••• to T• P•••••• C••••• W••••• L••left May 6, 2004, registered Oct 24, 2020 (6015 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address