DFX Intelligence
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Registered advisor
D•••• W•••••• S•••
Feed of 09/14/2026
Also filed as D•••• W•••••• S••••••••• S•••
At current firm
1 y
since Aug 28, 2025
In the industry
11 y
since Jun 2, 2015 (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
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••••• I••••••••• A••••••• L•• BD affiliated currentsince Aug 28, 2025 · Orlando, Fl
- L•• F•••••••• L•• BD affiliatedApr 23, 2025 to May 27, 2025 · Oviedo, Fl
- C••••• I••••••••• A••••••• L•• BD affiliatedOct 4, 2021 to Apr 22, 2025 · Miami, Fl
- W•••• F•••• A••••••• wirehouseJan 2, 2019 to Sep 29, 2021 · Greenville, Sc
- E•••••••• A•••••••• L•• national BDApr 20, 2017 to Jul 24, 2018 · Miami, Fl
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to C••••• I••••••••• A••••••• L••left May 27, 2025, registered Aug 28, 2025 (93 days) · Affiliated broker-dealer or bank to another
- C••••• I••••••••• A••••••• L•• to L•• F•••••••• L••left Apr 22, 2025, registered Apr 23, 2025 (1 days) · Affiliated broker-dealer or bank to another · moved with a team
- W•••• F•••• A••••••• to C••••• I••••••••• A••••••• L••left Sep 29, 2021, registered Oct 4, 2021 (5 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- E•••••••• A•••••••• L•• to W•••• F•••• A•••••••left Jul 24, 2018, registered Jan 2, 2019 (162 days) · Affiliated broker-dealer or bank to wirehouse
Signals
- ••• LockedMay 27, 2025 · Advisor changed firm · fact
- ••• LockedApr 22, 2025 · Advisor changed firm · fact
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address