DFX Intelligence
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Registered advisor
D•••••• R••• E••••
Feed of 09/15/2026
Also filed as D• R• B••••••••• R• B••••••••• E••••••••
At current firm
3 y
since Sep 30, 2022
In the industry
19 y
since Aug 15, 2007 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince Sep 30, 2022 · Denver, Co
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 3, 2022 to Oct 4, 2022 · Phoenix, Az
- W•••• F•••• A••••••• wirehouseSep 10, 2010 to Aug 2, 2021 · Walnut Creek, Ca
- U•• F•••••••• S••••••• I••• wirehouseAug 16, 2007 to Sep 10, 2010 · Grass Valley, Ca
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Oct 4, 2022, registered Sep 30, 2022 (-4 days) · Wirehouse to wirehouse
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 2, 2021, registered Jan 3, 2022 (154 days) · Wirehouse to wirehouse · moved with a team
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Sep 10, 2010, registered Sep 10, 2010 (0 days) · Wirehouse to wirehouse
Signals
- ••• LockedOct 4, 2022 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address