DFX Intelligence
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Feed of 09/14/2026
Also filed as Dave P Indest
At current firm
6 y
since Jun 26, 2020
In the industry
23 y
since Feb 21, 2003 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, 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
- E••••• J•••• national BD currentsince Jun 26, 2020 · Elmwood, La
- A••••••••• F•••••••• S•••••••• L•• national BDFeb 19, 2013 to Jun 25, 2020 · New Orleans, La
- E••••• J•••• national BDJan 19, 2007 to Feb 20, 2013 · Metairie, La
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• F•••••••• S•••••••• L•• to E••••• J••••left Jun 25, 2020, registered Jun 26, 2020 (1 days) · Affiliated broker-dealer or bank to another
- E••••• J•••• to A••••••••• F•••••••• S•••••••• L••left Feb 20, 2013, registered Feb 19, 2013 (-1 days) · Affiliated broker-dealer or bank to another
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
- 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