DFX Intelligence
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Registered advisor
S••••• A• S••••••
Feed of 09/14/2026
Also filed as S••••• A••••• S••••••••• S••••••
At current firm
1 y
since Mar 31, 2025
In the industry
12 y
since Aug 1, 2014 (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
0
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · St. Petersburg, Fl
- F••••••• P••••••• A•• W•••••••• A••••••• formerMar 30, 2023 to Mar 31, 2025 · Clearwater, Fl
- C••••• I••••••••• A••••••• L•• BD affiliatedNov 12, 2020 to Apr 19, 2021 · Warminster, Pa
- F•••• A••••• A••••••• S•••••••• I••• formerDec 13, 2019 to Nov 12, 2020 · Warminster, Pa
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- C••••• I••••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Apr 19, 2021, registered Mar 30, 2023 (710 days) · Affiliated broker-dealer or bank to another
- F•••• A••••• A••••••• S•••••••• I••• to C••••• I••••••••• A••••••• L••left Nov 12, 2020, registered Nov 12, 2020 (0 days) · corporate re-registration, not a move
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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address