DFX Intelligence
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Registered advisor
C••••••••• S• F•••
Feed of 09/14/2026
Also filed as C•••• F••••••••• S•••• F•••
At current firm
8 y
since Apr 24, 2018
In the industry
14 y
since Sep 8, 2012 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S63, 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
- R•••••• J•••• • A••••••••• I••• national BD currentsince Apr 24, 2018 · Chicago, Il
- M••••• S•••••• wirehouseSep 16, 2016 to Apr 9, 2018 · Los Gatos, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 14, 2013 to Sep 21, 2016 · Saint Petersburg, Fl
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to R•••••• J•••• • A••••••••• I•••left Apr 9, 2018, registered Apr 24, 2018 (15 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Sep 21, 2016, registered Sep 16, 2016 (-5 days) · Wirehouse to wirehouse · moved with a team
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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address