DFX Intelligence
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Registered advisor
D••••• M•••••
Feed of 09/14/2026
Also filed as D••••• K• M•••••
At current firm
3 y
since Dec 14, 2022
In the industry
12 y
since Dec 1, 2013 (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
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Dec 14, 2022 · Birmingham, Al
- M•• I•••••••• S•••••••• L•• BD affiliatedNov 17, 2020 to Jan 31, 2022 · Birmingham, Al
- A•••••• A••••••• S••••••• formerAug 23, 2019 to Feb 19, 2020 · Dallas, Tx
Moves
a registration end followed by a registration begin elsewhere
- M•• I•••••••• S•••••••• L•• to L•• F•••••••• L••left Jan 31, 2022, registered Dec 14, 2022 (317 days) · Affiliated broker-dealer or bank to independent RIA
- A•••••• A••••••• S••••••• to M•• I•••••••• S•••••••• L••left Feb 19, 2020, registered Nov 17, 2020 (272 days) · Affiliated broker-dealer or bank to another
Signals
- ••• LockedJan 31, 2022 · Advisor changed firm · fact
Transition signalsWhat these will draw onThe observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves.Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address