DFX Intelligence
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Registered advisor
C•••••• A••••• C••••••
Feed of 09/14/2026
Also filed as C•••••• A••••• L•••••
At current firm
11 y
since Jan 9, 2015
In the industry
16 y
since Dec 27, 2009 (earliest exam, job or registration)
Prior registered firms
1
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
0
dated events on this person
Registration history
IAPD current and previous registrations
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jan 9, 2015 · Houston, Tx
- M••••• S•••••• wirehouseJan 7, 2010 to Jan 12, 2015 · Purchase, Ny
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to A••••••••• F•••••••• S•••••••• L••left Jan 12, 2015, registered Jan 9, 2015 (-3 days) · Wirehouse to affiliated broker-dealer or bank
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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address