DFX Intelligence
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Registered advisor
S•••••• A• B••••••••
Feed of 09/15/2026
Also filed as S•••••• A• B••••••••• A• B••••••••
At current firm
4 y
since Mar 11, 2022
In the industry
19 y
since Aug 10, 2007 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, 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 Mar 11, 2022 · Palm Beach Gardens, Fl
- T• A••••••••• I••••••••• M••••••••• L•• formerMar 31, 2016 to Sep 7, 2023 · Naples, Fl
- T• A••••••••• I••• formerMar 31, 2016 to Oct 14, 2022 · Naples, Fl
- S•••••••• A••••••• L•• national BDJul 14, 2009 to Feb 16, 2016 · Merrimack, Nh
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Sep 7, 2023, registered Mar 11, 2022 (-545 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 14, 2022, registered Mar 31, 2016 (-2388 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to T• A••••••••• I•••left Feb 16, 2016, registered Mar 31, 2016 (44 days) · Other
Signals
No dated event on this person.
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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address