DFX Intelligence
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Registered advisor
A•••••••• B••••••••
Feed of 09/14/2026
Also filed as A•••••••• B••••••••• B••••••••
At current firm
1 y
since Apr 18, 2025
In the industry
19 y
since Dec 4, 2006 (earliest exam, job or registration)
Prior registered firms
2
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
- C•••••• S••••• • C••• I••• national BD currentsince Apr 18, 2025 · Orlando, Fl
- S••••• W••••• A•••••••• I••• no RAUMFeb 15, 2012 to Apr 21, 2025 · Orlando, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 5, 2006 to Apr 6, 2009 · Jacksonville, Fl
Moves
a registration end followed by a registration begin elsewhere
- S••••• W••••• A•••••••• I••• to C•••••• S••••• • C••• I•••left Apr 21, 2025, registered Apr 18, 2025 (-3 days) · channel change inside one enterprise, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S••••• W••••• A•••••••• I•••left Apr 6, 2009, registered Feb 15, 2012 (1045 days) · Other
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address