DFX Intelligence
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A••••• E••••••
As of · the IAPD feed; also filed as A••••• B••••••••• M•••• B•••
- At current firm
- 4 y
- In the industry
- 15 y
- Prior registered firms
- 1
- Signals
- 1
since May 25, 2022
As of · the IAPD feed; also filed as A••••• B••••••••• M•••• B•••
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Registration history
IAPD current and previous registrations
- C••••••••• F•••••••• N•••••• national BD currentsince May 25, 2022 · Roanoke, Va
- E•••••••• A•••••••• L•• national BDJan 18, 2022 to Mar 31, 2022 · Roanoke, Va
Moves
a registration end followed by a registration begin elsewhere
- E•••••••• A•••••••• L•• to C••••••••• F•••••••• N••••••left Mar 31, 2022, registered May 25, 2022 (55 days) · Affiliated broker-dealer or bank to another
Signals
- ••• LockedMar 31, 2022 · 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address