DFX Intelligence
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Registered advisor
D••••• A•••••••• F•••••
Feed of 09/15/2026
Also filed as D••••• F•••••
At current firm
6 y
since Apr 21, 2020
In the industry
11 y
since Oct 17, 2014 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
2
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince Apr 15, 2026 · St. Louis, Mo
- W•••• F•••• A••••••• wirehouse currentsince Apr 21, 2020 · St. Louis, Mo
- J••• M••••• S••••••••• L•• wirehouseDec 15, 2017 to Apr 9, 2020 · Beverly Hills, Ca
- N••••••••• M••••• I••••••••• S••••••••• no RAUMNov 29, 2016 to Nov 30, 2017 · Woodland Hls, Ca
- C••••• A•••••• N••••••• L•• formerSep 26, 2016 to Oct 5, 2016 · Los Angeles, Ca
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••left Apr 9, 2020, registered Apr 21, 2020 (12 days) · Wirehouse to wirehouse
- N••••••••• M••••• I••••••••• S••••••••• to J••• M••••• S••••••••• L••left Nov 30, 2017, registered Dec 15, 2017 (15 days) · Other
- C••••• A•••••• N••••••• L•• to N••••••••• M••••• I••••••••• S•••••••••left Oct 5, 2016, registered Nov 29, 2016 (55 days) · Other
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
- Wirehousederived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address