DFX Intelligence
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Registered advisor
R••••• E••••• G••••
Feed of 09/14/2026
Also filed as R••••• E• G••••••••• G••••
At current firm
3 y
since Jan 3, 2023
In the industry
10 y
since Mar 1, 2016 (earliest exam, job or registration)
Prior registered firms
1
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
- C•••••• S••••• • C••• I••• national BD currentsince Jan 3, 2023 · Phoenix, Az
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 9, 2020 to May 14, 2021 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••• S••••• • C••• I•••left May 14, 2021, registered Jan 3, 2023 (599 days) · Wirehouse to affiliated broker-dealer or bank
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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address