DFX Intelligence
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Registered advisor
C•••• M••••••
Feed of 09/15/2026
Also filed as C•••• J• D••••••••• J• D•••••
At current firm
4 y
since May 11, 2022
In the industry
10 y
since Feb 1, 2016 (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
0
dated events on this person
Registration history
IAPD current and previous registrations
- A••••• A•• P••••••• S••••••• BD affiliated currentsince May 11, 2022 · San Tan Valley, Az
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 9, 2020 to Sep 23, 2020 · Scottsdale, Az
- C•••••• S••••• • C••• I••• national BDDec 22, 2018 to Jun 9, 2020 · Phoenix, Az
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••• A•• P••••••• S•••••••left Sep 23, 2020, registered May 11, 2022 (595 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••• S••••• • C••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 9, 2020, registered Jun 9, 2020 (0 days) · Affiliated broker-dealer or bank to wirehouse
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
- 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