DFX Intelligence
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I••• A•••••••• H••••••
As of · the IAPD feed; also filed as I••• H••••••
- At current firm
- 3 y
- In the industry
- 10 y
- Prior registered firms
- 2
- Signals
- 1
since Mar 16, 2023
As of · the IAPD feed; also filed as I••• H••••••
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• national BD currentsince Mar 16, 2023 · Austin, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 13, 2021 to Feb 24, 2023 · Austin, Tx
- C•••••• S••••• • C••• I••• national BDJan 8, 2016 to Oct 21, 2021 · Austin, Tx
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••• S••••• • C••• I•••left Feb 24, 2023, registered Mar 16, 2023 (20 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••• S••••• • C••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 21, 2021, registered Oct 13, 2021 (-8 days) · Affiliated broker-dealer or bank to wirehouse
Signals
- ••• LockedFeb 24, 2023 · 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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address