DFX Intelligence
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Registered advisor
A•••• B• R••••
Feed of 09/15/2026
Also filed as A•••• B• D• R••••••••• B• G••••••••• G••••••••• R••••
At current firm
4 y
since May 9, 2022
In the industry
16 y
since Nov 17, 2009 (earliest exam, job or registration)
Prior registered firms
2
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
- C•••••• S••••• • C••• I••• national BD currentsince May 9, 2022 · Orlando, Fl
- T• A••••••••• I••• formerMar 7, 2016 to Oct 14, 2022 · San Diego, Ca
- L•• F•••••••• L•• BD affiliatedNov 18, 2009 to Nov 18, 2015 · San Diego, Ca
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••• to C•••••• S••••• • C••• I•••left Oct 14, 2022, registered May 9, 2022 (-158 days) · channel change inside one enterprise, not a move · moved with a team
- L•• F•••••••• L•• to T• A••••••••• I•••left Nov 18, 2015, registered Mar 7, 2016 (110 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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address