DFX Intelligence
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Registered advisor
C•••••• Y••••
Feed of 09/14/2026
Also filed as C•••••• K• Y••••
At current firm
3 y
since Jan 18, 2023
In the industry
9 y
since Oct 1, 2016 (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
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Jan 18, 2023 · Charlotte, Nc
- O•••• W•••••• I••• BD affiliatedNov 2, 2018 to Jan 4, 2023 · Huntington, Ny
- S••••••• I••••••••• I••• formerJan 26, 2017 to Nov 2, 2018 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- O•••• W•••••• I••• to L•• F•••••••• L••left Jan 4, 2023, registered Jan 18, 2023 (14 days) · Affiliated broker-dealer or bank to independent RIA
- S••••••• I••••••••• I••• to O•••• W•••••• I•••left Nov 2, 2018, registered Nov 2, 2018 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedJan 4, 2023 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 9derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address