DFX Intelligence
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Registered advisor
A•••••• B•••
Feed of 09/14/2026
Also filed as R••• B•••
At current firm
7 y
since Sep 27, 2018
In the industry
11 y
since Apr 23, 2015 (earliest exam, job or registration)
Prior registered firms
4
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
- C•••••• S••••• • C••• I••• national BD currentsince Sep 27, 2018 · Chicago, Il
- T• A••••••••• I••• formerAug 2, 2022 to Oct 14, 2022 · Chicago, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 8, 2017 to Sep 17, 2018 · Chicago, Il
- L•• F•••••••• L•• BD affiliatedSep 12, 2016 to Jan 26, 2017 · Chicago, Il
- C•••••• S••••• • C••• I••• national BDApr 23, 2015 to Sep 16, 2016 · Chicago, Il
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••• to no registered destinationleft Oct 14, 2022 · Departure, no registered destination
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••• S••••• • C••• I•••left Sep 17, 2018, registered Sep 27, 2018 (10 days) · Wirehouse to affiliated broker-dealer or bank
- L•• F•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 26, 2017, registered Mar 8, 2017 (41 days) · Other
- C•••••• S••••• • C••• I••• to L•• F•••••••• L••left Sep 16, 2016, registered Sep 12, 2016 (-4 days) · Other
Signals
- ••• LockedOct 14, 2022 · Advisor departure · fact
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address