DFX Intelligence
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Registered advisor
D••••• M••••• F•••••••
Feed of 09/14/2026
Also filed as D••••• F•••••••
At current firm
8 y
since Dec 5, 2017
In the industry
21 y
since Mar 1, 2005 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• national BD currentsince Dec 5, 2017 · Westlake, Tx
- S•••••••• A••••••• L•• national BDSep 20, 2011 to Oct 20, 2017 · Southlake, Tx
Moves
a registration end followed by a registration begin elsewhere
- S•••••••• A••••••• L•• to C•••••• S••••• • C••• I•••left Oct 20, 2017, registered Dec 5, 2017 (46 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
- National broker-dealer RIAderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address