DFX Intelligence
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Registered advisor
B••••••••• E•••••••• M•••••••
Feed of 09/15/2026
At current firm
1 y
since Jun 16, 2025
In the industry
23 y
since Jan 30, 2003 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
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
- U••• B•••••• A•••••••• L•• BD affiliated currentsince Jun 16, 2025 · Saint Paul, Mn
- U••• B•••••• I••••••••• I••• formerJul 20, 2010 to Feb 13, 2026 · Glendora, Ca
- C•••• I••••••••• S••••••• C•••• formerMay 2, 2009 to Jun 18, 2010 · Los Angeles, Ca
- W••• I••••••••• I••• unclassifiedJul 1, 2008 to May 2, 2009 · Los Angeles, Ca
Moves
a registration end followed by a registration begin elsewhere
- U••• B•••••• I••••••••• I••• to U••• B•••••• A•••••••• L••left Feb 13, 2026, registered Jun 16, 2025 (-242 days) · corporate re-registration, not a move
- C•••• I••••••••• S••••••• C•••• to U••• B•••••• I••••••••• I•••left Jun 18, 2010, registered Jul 20, 2010 (32 days) · Other
- W••• I••••••••• I••• to C•••• I••••••••• S••••••• C••••left May 2, 2009, registered May 2, 2009 (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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address