DFX Intelligence
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Registered advisor
A•••• B•••••••
Feed of 09/14/2026
Also filed as A••••• B••••••••• B••••••••• C• B••••••••• C•••••••• B•••••••
At current firm
2 y
since Nov 7, 2023
In the industry
17 y
since May 1, 2009 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- J••• M••••• S••••••••• L•• wirehouse currentsince Nov 7, 2023 · Austin, Tx
- O•••• W•••••• I••• BD affiliatedMar 25, 2022 to Jun 7, 2023 · Austin, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 9, 2019 to Mar 25, 2022 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- O•••• W•••••• I••• to J••• M••••• S••••••••• L••left Jun 7, 2023, registered Nov 7, 2023 (153 days) · Affiliated broker-dealer or bank to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to O•••• W•••••• I•••left Mar 25, 2022, registered Mar 25, 2022 (0 days) · Wirehouse to affiliated broker-dealer or bank
Signals
- ••• LockedJun 7, 2023 · Advisor changed firm · fact
- ••• LockedMar 25, 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address