DFX Intelligence
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Registered advisor
R••••• S•••••••
Feed of 09/15/2026
Also filed as R•••• N•••• S••••••••• S••••••••• N•••• S•••••••
At current firm
0 y
since Jan 30, 2026
In the industry
10 y
since Apr 1, 2016 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- J••• M••••• S••••••••• L•• wirehouse currentsince Jan 30, 2026 · Oviedo, Fl
- L•• F•••••••• L•• BD affiliatedJun 4, 2024 to Feb 2, 2026 · Orlando, Fl
- C••••• I••••••••• A••••••• L•• BD affiliatedSep 29, 2021 to May 1, 2024 · Lake Mary, Fl
- P•••• S••••••••• L•• no RAUMApr 17, 2017 to Sep 20, 2021 · Orlando, Fl
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to J••• M••••• S••••••••• L••left Feb 2, 2026, registered Jan 30, 2026 (-3 days) · Affiliated broker-dealer or bank to wirehouse
- C••••• I••••••••• A••••••• L•• to L•• F•••••••• L••left May 1, 2024, registered Jun 4, 2024 (34 days) · Affiliated broker-dealer or bank to another
- P•••• S••••••••• L•• to C••••• I••••••••• A••••••• L••left Sep 20, 2021, registered Sep 29, 2021 (9 days) · Affiliated broker-dealer or bank to another
Signals
- ••• LockedFeb 2, 2026 · Advisor changed firm · fact
- ••• LockedMay 1, 2024 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address