DFX Intelligence
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Registered advisor
D••••• T••••••• C•••••
Feed of 09/14/2026
Also filed as D••••• C•••••
At current firm
8 y
since Apr 20, 2018
In the industry
11 y
since Apr 22, 2015 (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, S63
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••••••••• F•••••••• N•••••• national BD currentsince Apr 20, 2018 · Sonora, Ca
- C•••••• S••••• • C••• I••• national BDNov 17, 2015 to Mar 28, 2017 · San Luis Obispo, Ca
- C••••• A•••••• N••••••• L•• formerApr 22, 2015 to Nov 2, 2015 · Redding, Ca
Moves
a registration end followed by a registration begin elsewhere
- C•••••• S••••• • C••• I••• to C••••••••• F•••••••• N••••••left Mar 28, 2017, registered Apr 20, 2018 (388 days) · Affiliated broker-dealer or bank to another
- C••••• A•••••• N••••••• L•• to C•••••• S••••• • C••• I•••left Nov 2, 2015, registered Nov 17, 2015 (15 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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address