DFX Intelligence
RIA Intelligence
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Registered advisor
T••••• D••••• P••••
Feed of 09/14/2026
At current firm
0 y
since Jun 19, 2026
In the industry
15 y
since Jun 24, 2011 (earliest exam, job or registration)
Prior registered firms
4
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- E•••••••• A•••••••• L•• national BD currentsince Jun 19, 2026 · Fort Myers, Fl
- C••••• I••••••••• A••••••• L•• BD affiliatedAug 12, 2025 to Jun 16, 2026 · Cape Coral, Fl
- A•••••• A••••••• S••••••• formerSep 27, 2016 to Sep 5, 2025 · Cape Coral, Fl
- A•••••• A••••••• S••••••• formerMay 2, 2014 to Oct 1, 2014 · Cape Coral, Fl
- E••••• J•••• national BDJul 13, 2011 to Jul 25, 2013 · St Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- C••••• I••••••••• A••••••• L•• to E•••••••• A•••••••• L••left Jun 16, 2026, registered Jun 19, 2026 (3 days) · Affiliated broker-dealer or bank to another
- A•••••• A••••••• S••••••• to C••••• I••••••••• A••••••• L••left Sep 5, 2025, registered Aug 12, 2025 (-24 days) · corporate re-registration, not a move
- E••••• J•••• to A•••••• A••••••• S•••••••left Jul 25, 2013, registered May 2, 2014 (281 days) · Other
Signals
- T••••• D••••• P•••• left C••••• I••••••••• A••••••• L•• for E•••••••• A•••••••• L•• (registered 2026-06-19)Jun 16, 2026 · 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address