DFX Intelligence
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Registered advisor
Y••••• Y•••• B••••
Feed of 09/14/2026
Also filed as Y••••• Y•••• B•••• Q••••••••• Y• B••••••••• Q••••••••• Y•••• B••••••••• B••••••••• B•••• Q•••••
At current firm
4 y
since Jul 18, 2022
In the industry
11 y
since May 1, 2015 (earliest exam, job or registration)
Prior registered firms
3
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince Jul 18, 2022 · Salt Lake City, Ut
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 13, 2021 to May 3, 2022 · West Jordan, Ut
- F••••••• P••••••• A•• W•••••••• A••••••• formerSep 28, 2020 to Nov 30, 2020 · Salt Lake City, Ut
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 20, 2019 to Aug 10, 2020 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left May 3, 2022, registered Jul 18, 2022 (76 days) · Wirehouse to wirehouse
- F••••••• P••••••• A•• W•••••••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 30, 2020, registered Jan 13, 2021 (44 days) · Affiliated broker-dealer or bank to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Aug 10, 2020, registered Sep 28, 2020 (49 days) · Wirehouse to affiliated broker-dealer or bank
Signals
- ••• LockedMay 3, 2022 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address