DFX Intelligence
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Registered advisor
D••••• C•••••••• E•••••••
Feed of 09/14/2026
Also filed as D••••• E••••••••• R••••••
At current firm
3 y
since Nov 28, 2022
In the industry
20 y
since Aug 1, 2006 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
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 Nov 28, 2022 · Corte Madera, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerNov 28, 2022 to Sep 7, 2023 · Corte Madera, Ca
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Sep 7, 2023, registered Nov 28, 2022 (-283 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address