DFX Intelligence
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Registered advisor
C••••••• C•••••• D••••
Feed of 09/14/2026
Also filed as C••••••• C••••••••• C••••• C••••••
At current firm
3 y
since May 4, 2023
In the industry
13 y
since Aug 1, 2013 (earliest exam, job or registration)
Prior registered firms
2
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
- E•••••••• A•••••••• L•• national BD currentsince May 4, 2023 · Baton Rouge, La
- U•• F•••••••• S••••••• I••• wirehouseOct 12, 2022 to Apr 18, 2023 · Birmingham, Mi
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 1, 2021 to Oct 11, 2022 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to E•••••••• A•••••••• L••left Apr 18, 2023, registered May 4, 2023 (16 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Oct 11, 2022, registered Oct 12, 2022 (1 days) · Wirehouse to wirehouse · moved with a team
Signals
- ••• LockedApr 18, 2023 · Advisor changed firm · fact
- ••• LockedOct 11, 2022 · 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
- National broker-dealer RIAderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address