DFX Intelligence
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Registered advisor
E••• N••••••• S•••••
Feed of 09/14/2026
At current firm
1 y
since Jan 9, 2025
In the industry
18 y
since Sep 2, 2008 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• national BD currentsince Jan 9, 2025 · Phoenix, Az
- O•••• W•••••• I••• BD affiliatedSep 1, 2023 to Sep 30, 2024 · Scottsdale, Az
- S•••••••• F••••••••• I••• formerSep 2, 2015 to Sep 1, 2023 · Scottsdale, Az
- N••••••••• M••••• I••••••••• S••••••••• no RAUMMar 17, 2010 to Aug 26, 2015 · Phoenix, Az
- O•••• F•• I••• formerOct 8, 2008 to Dec 31, 2009 · Scottsdale, Az
Moves
a registration end followed by a registration begin elsewhere
- O•••• W•••••• I••• to C•••••• S••••• • C••• I•••left Sep 30, 2024, registered Jan 9, 2025 (101 days) · Affiliated broker-dealer or bank to another
- S•••••••• F••••••••• I••• to O•••• W•••••• I•••left Sep 1, 2023, registered Sep 1, 2023 (0 days) · corporate re-registration, not a move
- N••••••••• M••••• I••••••••• S••••••••• to S•••••••• F••••••••• I•••left Aug 26, 2015, registered Sep 2, 2015 (7 days) · Other
- O•••• F•• I••• to N••••••••• M••••• I••••••••• S•••••••••left Dec 31, 2009, registered Mar 17, 2010 (76 days) · Other
Signals
- ••• LockedSep 30, 2024 · Advisor changed firm · fact
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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address