DFX Intelligence
RIA Intelligence
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Registered advisor
D•••• F•••••••••
Feed of 09/14/2026
Also filed as D•••• F•••••••••
At current firm
1 y
since Mar 31, 2025
In the industry
14 y
since Dec 21, 2011 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
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
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Miami, Fl
- F••••••• P••••••• A•• W•••••••• A••••••• formerFeb 2, 2023 to Mar 31, 2025 · Miami, Fl
- J••• M••••• S••••••••• L•• wirehouseApr 18, 2016 to Dec 3, 2022 · Miami, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 12, 2015 to Mar 2, 2016 · Plantation, Fl
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Jun 12, 2015 · Miami, Fl
- C•••• I••••••••• S••••••• C•••• formerDec 23, 2011 to Oct 1, 2012 · North Miami, Fl
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- J••• M••••• S••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Dec 3, 2022, registered Feb 2, 2023 (61 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••left Mar 2, 2016, registered Apr 18, 2016 (47 days) · Wirehouse to wirehouse
- J••• M••••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 12, 2015, registered Jun 12, 2015 (0 days) · Wirehouse to wirehouse · moved with a team
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
Signals
- D•••• F••••••••• left J••• M••••• S••••••••• L•• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2023-02-02)Dec 3, 2022 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet. The 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.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address