DFX Intelligence
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Registered advisor
D•••• P••••• D•••••
Feed of 09/14/2026
Also filed as D•••• P• D•••••
At current firm
2 y
since Feb 2, 2024
In the industry
23 y
since Aug 13, 2003 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Feb 2, 2024 · Niceville, Fl
- O•••• W•••••• I••• BD affiliatedSep 1, 2023 to Feb 6, 2024 · Niceville, Fl
- S•••••••• F••••••••• I••• formerOct 31, 2005 to Sep 1, 2023 · Niceville, Fl
- S•••••• • C••• I••• unclassifiedJun 1, 2004 to Oct 31, 2005 · Niceville, Fl
- W••••• M••••••••• L•• unclassifiedNov 4, 2003 to Feb 2, 2024 · Niceville, Fl
Moves
a registration end followed by a registration begin elsewhere
- O•••• W•••••• I••• to A••••••••• F•••••••• S•••••••• L••left Feb 6, 2024, registered Feb 2, 2024 (-4 days) · Affiliated broker-dealer or bank to another
- W••••• M••••••••• L•• to S•••••• • C••• I•••left Feb 2, 2024, registered Jun 1, 2004 (-7185 days) · Other
- S•••••••• F••••••••• I••• to O•••• W•••••• I•••left Sep 1, 2023, registered Sep 1, 2023 (0 days) · corporate re-registration, not a move
- S•••••• • C••• I••• to S•••••••• F••••••••• I•••left Oct 31, 2005, registered Oct 31, 2005 (0 days) · Other
Signals
- ••• LockedFeb 6, 2024 · Advisor changed firm · fact
- ••• LockedFeb 2, 2024 · Advisor changed firm · fact
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