DFX Intelligence
RIA Intelligence
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Registered advisor
B•••• A•••••
Certified Financial Planner
Feed of 09/14/2026
At current firm
4 y
since Jan 14, 2022
In the industry
23 y
since May 9, 2003 (earliest exam, job or registration)
Prior registered firms
5
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
- R•• C•••••• M••••••• L•• national BD currentsince Jan 14, 2022 · Boca Raton, Fl
- T••••• A••••••• S•••••••• I••• BD affiliatedFeb 17, 2021 to Jan 21, 2022 · Atlanta, Ga
- B••• S••••••••• L•• formerJul 20, 2016 to Feb 17, 2021 · Ft Lauderdale, Fl
- U•• F•••••••• S••••••• I••• wirehouseMay 23, 2008 to Aug 10, 2016 · Boca Raton, Fl
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to May 16, 2008 · Boca Raton, Fl
- M••••• S•••••• D• I••• unclassifiedMay 13, 2003 to Apr 2, 2007 · Ft. Lauderdale, Fl
Moves
a registration end followed by a registration begin elsewhere
- T••••• A••••••• S•••••••• I••• to R•• C•••••• M••••••• L••left Jan 21, 2022, registered Jan 14, 2022 (-7 days) · Affiliated broker-dealer or bank to another
- B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••left Feb 17, 2021, registered Feb 17, 2021 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to B••• S••••••••• L••left Aug 10, 2016, registered Jul 20, 2016 (-21 days) · Other
- M••••• S•••••• • C•• L•• to U•• F•••••••• S••••••• I•••left May 16, 2008, registered May 23, 2008 (7 days) · Other
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
Signals
- B•••• A••••• left T••••• A••••••• S•••••••• I••• for R•• C•••••• M••••••• L•• (registered 2022-01-14)Jan 21, 2022 · 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