DFX Intelligence
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Registered advisor
Y••••• E•••••
Feed of 09/14/2026
Also filed as Y••••• D••••••••• D•••••
At current firm
7 y
since Feb 13, 2019
In the industry
24 y
since Feb 6, 2002 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
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 Feb 13, 2019 · Ocala, Fl
- M••••• S•••••• wirehouseJun 10, 2015 to Feb 8, 2019 · Ocala, Fl
- U•• F•••••••• S••••••• I••• wirehouseAug 15, 2014 to May 26, 2015 · Tampa, Fl
- W•••• F•••• A••••••• wirehouseMay 17, 2012 to Aug 20, 2014 · Crystal River, Fl
- M••••• S•••••• wirehouseJun 1, 2009 to May 16, 2012 · Tampa, Fl
- M••••• S•••••• • C•• L•• unclassifiedJan 9, 2008 to Jun 1, 2009 · Tampa, Fl
All 6 prior registrationsShow fewer
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 6, 2002 to Jan 9, 2008 · Crystal River, Fl
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to R•••••• J•••• • A••••••••• I•••left Feb 8, 2019, registered Feb 13, 2019 (5 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- U•• F•••••••• S••••••• I••• to M••••• S••••••left May 26, 2015, registered Jun 10, 2015 (15 days) · Wirehouse to wirehouse
- W•••• F•••• A••••••• to U•• F•••••••• S••••••• I•••left Aug 20, 2014, registered Aug 15, 2014 (-5 days) · Wirehouse to wirehouse
- M••••• S•••••• to W•••• F•••• A•••••••left May 16, 2012, registered May 17, 2012 (1 days) · Wirehouse to wirehouse
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
All 6 movesShow fewer
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S•••••• • C•• L••left Jan 9, 2008, registered Jan 9, 2008 (0 days) · Other
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address