DFX Intelligence
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Registered advisor
D••••• B•••••••
Feed of 09/14/2026
Also filed as D••••• M•••••• B••••••••• M• B•••••••
At current firm
1 y
since Apr 29, 2025
In the industry
11 y
since Apr 1, 2015 (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
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• national BD currentsince Apr 29, 2025 · Roseville, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 11, 2023 to Feb 20, 2025 · Roseville, Ca
- E•••••••• A•••••••• L•• national BDAug 11, 2022 to Mar 20, 2023 · Folsom, Ca
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••• S••••• • C••• I•••left Feb 20, 2025, registered Apr 29, 2025 (68 days) · Wirehouse to affiliated broker-dealer or bank
- E•••••••• A•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 20, 2023, registered Apr 11, 2023 (22 days) · Affiliated broker-dealer or bank to wirehouse
Signals
- ••• LockedFeb 20, 2025 · Advisor changed firm · fact
- ••• LockedMar 20, 2023 · 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
- 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