DFX Intelligence
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Registered advisor
D•••• W•••• M•••••
Feed of 09/14/2026
Also filed as D•••• W•••• M••••••••• M••••••••• W• M••••••••• M••••••••• W• M•••••
At current firm
3 y
since Sep 30, 2022
In the industry
23 y
since Jan 30, 2003 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Sep 30, 2022 · Pensacola, Fl
- W•••• F•••• A••••••• wirehouseOct 31, 2013 to Oct 5, 2022 · Mobile, Al
- M••••• S•••••• wirehouseJun 1, 2009 to Nov 14, 2013 · Mobile, Al
- C•••••••• G••••• M•••••• I••• BD affiliatedJun 16, 2006 to Jun 1, 2009 · Mobile, Al
- R•••••• J•••• • A••••••••• I••• national BDJun 30, 2005 to Jun 29, 2006 · Mobile, Al
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••left Oct 5, 2022, registered Sep 30, 2022 (-5 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• to W•••• F•••• A•••••••left Nov 14, 2013, registered Oct 31, 2013 (-14 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- R•••••• J•••• • A••••••••• I••• to C•••••••• G••••• M•••••• I•••left Jun 29, 2006, registered Jun 16, 2006 (-13 days) · Other
Signals
- ••• LockedOct 5, 2022 · Advisor changed firm · fact
Transition signals
No combined mobility score is published yet. The signals above are on record, each with its own history and base rate.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address