DFX Intelligence
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Registered advisor
D••••• R•••••••
Feed of 09/14/2026
Also filed as D••••• W•••• R••••••••• R•••••••
At current firm
1 y
since Jan 30, 2025
In the industry
12 y
since Sep 1, 2014 (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, S63
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- E•••••• A••••••• G••••• L•• BD affiliated currentsince Jan 30, 2025 · Greenwood Village, Co
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 12, 2024 to Jan 10, 2025 · Palo Alto, Ca
- W•••• F•••• A••••••• wirehouseOct 27, 2021 to Jan 25, 2024 · Palo Alto, Ca
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E•••••• A••••••• G••••• L••left Jan 10, 2025, registered Jan 30, 2025 (20 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 25, 2024, registered Feb 12, 2024 (18 days) · Wirehouse to wirehouse
Signals
- ••• LockedJan 10, 2025 · Advisor changed firm · fact
- ••• LockedJan 25, 2024 · Advisor changed firm · fact
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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address