DFX Intelligence
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Registered advisor
D•••••• A••• B••••••••
Certified Financial Planner
Feed of 09/14/2026
At current firm
5 y
since Apr 27, 2021
In the industry
21 y
since Aug 16, 2005 (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
0
dated events on this person
Registration history
IAPD current and previous registrations
- B••• F••• W••••• independent RIA currentsince Apr 27, 2021 · New York, Ny
- B••• F••• W••••• independent RIAJun 19, 2019 to Oct 3, 2019 · New York, Ny
- C••••••••• F•••••••• N•••••• national BDDec 2, 2016 to Aug 23, 2019 · New York, Ny
- A••••••••• F•••••••• S•••••••• L•• national BDOct 19, 2005 to Nov 15, 2012 · Boca Raton, Fl
Moves
a registration end followed by a registration begin elsewhere
- C••••••••• F•••••••• N•••••• to B••• F••• W•••••left Aug 23, 2019, registered Jun 19, 2019 (-65 days) · Affiliated broker-dealer or bank to independent RIA
- A••••••••• F•••••••• S•••••••• L•• to C••••••••• F•••••••• N••••••left Nov 15, 2012, registered Dec 2, 2016 (1478 days) · Affiliated broker-dealer or bank to another
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
- Independent wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address