DFX Intelligence
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Registered advisor
W•••••• D•••
Chartered Financial Consultant
Feed of 09/14/2026
Also filed as W••• A•••• D••••••••• A•••• D••••••••• D•••
At current firm
1 y
since Oct 25, 2024
In the industry
10 y
since Sep 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
1
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Oct 25, 2024 · Albuquerque, Nm
- E••••• J•••• national BDJan 15, 2021 to Oct 28, 2024 · Albuquerque, Nm
- F••••••• P••••••• A•• W•••••••• A••••••• formerApr 23, 2019 to Jan 18, 2021 · Albuquerque, Nm
- E••••• J•••• national BDFeb 5, 2018 to Mar 26, 2019 · Rio Rancho, Nm
Moves
a registration end followed by a registration begin elsewhere
- E••••• J•••• to L•• F•••••••• L••left Oct 28, 2024, registered Oct 25, 2024 (-3 days) · Affiliated broker-dealer or bank to another
- F••••••• P••••••• A•• W•••••••• A••••••• to E••••• J••••left Jan 18, 2021, registered Jan 15, 2021 (-3 days) · Affiliated broker-dealer or bank to another
- E••••• J•••• to F••••••• P••••••• A•• W•••••••• A•••••••left Mar 26, 2019, registered Apr 23, 2019 (28 days) · Affiliated broker-dealer or bank to another
Signals
- ••• LockedOct 28, 2024 · 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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address