DFX Intelligence
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A••••• S•••• T•••••
Registered advisorat S•••••• N••••••• • C••••••• I•••••••••Dual registrant· Boca Raton, FlIAPD 7288632
As of · the IAPD feed; also filed as A••••• S•••• T••••••••• S• T•••••
- At current firm
- 3 y
- In the industry
- 10 y
- Prior registered firms
- 1
- Signals
- 1
since Mar 27, 2023
As of · the IAPD feed; also filed as A••••• S•••• T••••••••• S• T•••••
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Registration history
IAPD current and previous registrations
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Mar 27, 2023 · Boca Raton, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 2, 2022 to Mar 22, 2023 · Palm Beach, Fl
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••• N••••••• • C••••••• I•••••••••left Mar 22, 2023, registered Mar 27, 2023 (5 days) · Wirehouse to affiliated broker-dealer or bank
Signals
- ••• LockedMar 22, 2023 · Advisor changed firm · fact
Transition signals
No combined mobility score is published yet. The signals above are on record, each with its own history and base rate.
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