DFX Intelligence
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Registered advisor
T••••• C•••• C••••
Feed of 09/14/2026
Also filed as C•••• C••••
At current firm
5 y
since Sep 23, 2021
In the industry
18 y
since Mar 6, 2008 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
3
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
- L•• F•••••••• L•• BD affiliated currentsince Sep 23, 2021 · San Diego, Ca
- F••••• I••••••••• independent RIAJul 21, 2021 to Aug 31, 2021 · Plano, Tx
- L•• F•••••••• L•• BD affiliatedSep 30, 2011 to Aug 15, 2016 · Naperville, Il
- E••••• J•••• national BDMar 7, 2008 to Jun 29, 2011 · Naperville, Il
Moves
a registration end followed by a registration begin elsewhere
- F••••• I••••••••• to L•• F•••••••• L••left Aug 31, 2021, registered Sep 23, 2021 (23 days) · RIA to affiliated broker-dealer or bank
- L•• F•••••••• L•• to F••••• I•••••••••left Aug 15, 2016, registered Jul 21, 2021 (1801 days) · Other
- E••••• J•••• to L•• F•••••••• L••left Jun 29, 2011, registered Sep 30, 2011 (93 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address