DFX Intelligence
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Registered advisor
D•••••• N••••
Feed of 09/14/2026
Also filed as D•••••• N••••••••• M•••••• N••••
At current firm
13 y
since Oct 1, 2012
In the industry
17 y
since Aug 13, 2009 (earliest exam, job or registration)
Prior registered firms
2
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
0
dated events on this person
Registration history
IAPD current and previous registrations
- J••• M••••• S••••••••• L•• wirehouse currentsince Oct 1, 2012 · Oakland, Ca
- C•••• I••••••••• S••••••• C•••• formerSep 28, 2010 to Oct 1, 2012 · Concord, Ca
- W•••••• • R••• formerAug 14, 2009 to Aug 13, 2010 · Stockton, Ca
Moves
a registration end followed by a registration begin elsewhere
- 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
- W•••••• • R••• to C•••• I••••••••• S••••••• C••••left Aug 13, 2010, registered Sep 28, 2010 (46 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
- Wirehousederived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address