DFX Intelligence
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S•••••• D•••• C••••
Registered advisorat A••••••••• F•••••••• S•••••••• L••Dual registrant· Santa Clara, Ca IAPD 6315527
As of · the IAPD feed; also filed as S•••••• D• C••••••••• C••••
- At current firm
- 2 y
- In the industry
- 12 y
- Prior registered firms
- 2
- Signals
- 1
since Aug 2, 2024
As of · the IAPD feed; also filed as S•••••• D• C••••••••• C••••
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Registration history
IAPD current and previous registrations
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Aug 2, 2024 · San Jose, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 15, 2016 to Aug 5, 2024 · Redding, Ca
- E••••• J•••• national BDAug 19, 2014 to Nov 7, 2015 · Redding, Ca
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••••• F•••••••• S•••••••• L••left Aug 5, 2024, registered Aug 2, 2024 (-3 days) · Wirehouse to affiliated broker-dealer or bank
- E••••• J•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 7, 2015, registered Jun 15, 2016 (221 days) · Affiliated broker-dealer or bank to wirehouse
Signals
- ••• LockedAug 5, 2024 · Advisor changed firm · fact
Transition signals
No combined mobility score is published yet. The signals above are on record, each with its own history and base rate.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address