DFX Intelligence
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Registered advisor
S••• A•••••• F•••••••
Feed of 09/15/2026
Also filed as S••• A• F••••••••• A• S•••••••• A•••••• F••••••••• A• F•••••••
At current firm
11 y
since Sep 18, 2015
In the industry
20 y
since Apr 21, 2006 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Sep 18, 2015 · Fort Lauderdale, Fl
- S•••••••• A••••••• L•• national BDJan 5, 2011 to Jun 12, 2015 · Ft. Lauderdale, Fl
- T• A••••••••• I••••••••• M••••••••• L•• formerOct 30, 2009 to Oct 27, 2010 · Ft. Lauderdale, Fl
- T• A••••••••• I••• formerOct 27, 2009 to Oct 27, 2010 · Fort Lauderdale, Fl
- S•••••••• A••••••• L•• national BDJun 27, 2008 to Sep 17, 2009 · Ft. Lauderdale, Fl
Moves
a registration end followed by a registration begin elsewhere
- S•••••••• A••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 12, 2015, registered Sep 18, 2015 (98 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- T• A••••••••• I••••••••• M••••••••• L•• to S•••••••• A••••••• L••left Oct 27, 2010, registered Jan 5, 2011 (70 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 27, 2010, registered Oct 30, 2009 (-362 days) · channel change inside one enterprise, not a move
- S•••••••• A••••••• L•• to T• A••••••••• I•••left Sep 17, 2009, registered Oct 27, 2009 (40 days) · Affiliated broker-dealer or bank to a newly registered adviser
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
- Wirehousederived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address