DFX Intelligence
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Registered advisor
D••••• O•••••
Feed of 09/14/2026
At current firm
5 y
since May 26, 2021
In the industry
11 y
since Dec 1, 2014 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• national BD currentsince May 26, 2021 · El Segundo, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerMay 29, 2020 to May 14, 2021 · Brea, Ca
- C•••••• S••••• • C••• I••• national BDApr 1, 2019 to Jun 1, 2020 · Brea, Ca
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to C•••••• S••••• • C••• I•••left May 14, 2021, registered May 26, 2021 (12 days) · Affiliated broker-dealer or bank to another
- C•••••• S••••• • C••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left Jun 1, 2020, registered May 29, 2020 (-3 days) · Affiliated broker-dealer or bank to another
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address