DFX Intelligence
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Registered advisor
N•••••• D•••••••
Feed of 09/14/2026
Also filed as N•••••• A•••••••• D••••••••• D•••••••
At current firm
3 y
since Aug 8, 2023
In the industry
11 y
since May 1, 2015 (earliest exam, job or registration)
Prior registered firms
1
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• national BD currentsince Aug 8, 2023 · Phoenix, Az
- U•• F•••••••• S••••••• I••• wirehouseJan 23, 2023 to Apr 27, 2023 · Phoenix, Az
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to C•••••• S••••• • C••• I•••left Apr 27, 2023, registered Aug 8, 2023 (103 days) · Wirehouse to affiliated broker-dealer or bank
Signals
- ••• LockedApr 27, 2023 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address