DFX Intelligence
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Registered advisor
B•••••• A• D•••••
Feed of 09/15/2026
Also filed as B•••••• A•••••••• D••••••••• A•••••••• D•••••
At current firm
11 y
since Jul 14, 2015
In the industry
19 y
since Oct 23, 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, 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
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Jul 14, 2015 · Los Angeles, Ca
- L••••• A•••• M••••••••• I•• formerFeb 10, 2009 to May 20, 2011 · Boca Raton, Fl
- N•••••••• C•••••• M••••••••• I•• unclassifiedDec 20, 2006 to Jul 30, 2007 · Boca Raton, Fl
Moves
a registration end followed by a registration begin elsewhere
- L••••• A•••• M••••••••• I•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 20, 2011, registered Jul 14, 2015 (1516 days) · Other
- N•••••••• C•••••• M••••••••• I•• to L••••• A•••• M••••••••• I••left Jul 30, 2007, registered Feb 10, 2009 (561 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The 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.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address