DFX Intelligence
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Registered advisor
B•••• E•••• S••••••••
Feed of 09/14/2026
Also filed as B•••• E• S••••••••• E•••• S••••••••• E•••• S••••••••• S••••••••
At current firm
1 y
since Jan 3, 2025
In the industry
10 y
since Mar 1, 2016 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S65
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• national BD currentsince Jan 3, 2025 · Clearwater, Fl
- U•• F•••••••• S••••••• I••• wirehouseSep 6, 2023 to Dec 20, 2024 · Tampa, Fl
- F••••••• P••••••• A•• W•••••••• A••••••• formerOct 15, 2020 to Sep 7, 2023 · Clearwater, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 6, 2019 to Sep 28, 2020 · Tampa, Fl
- F••••• I••••••••• independent RIASep 19, 2016 to Jul 18, 2019 · Plano, Tx
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to C•••••• S••••• • C••• I•••left Dec 20, 2024, registered Jan 3, 2025 (14 days) · Wirehouse to affiliated broker-dealer or bank
- F••••••• P••••••• A•• W•••••••• A••••••• to U•• F•••••••• S••••••• I•••left Sep 7, 2023, registered Sep 6, 2023 (-1 days) · Affiliated broker-dealer or bank to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Sep 28, 2020, registered Oct 15, 2020 (17 days) · Wirehouse to affiliated broker-dealer or bank
- F••••• I••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 18, 2019, registered Dec 6, 2019 (141 days) · RIA to wirehouse
Signals
- ••• LockedDec 20, 2024 · Advisor changed firm · fact
- ••• LockedSep 7, 2023 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
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