DFX Intelligence
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A••••• F•••••••• P•••••••• I••
Broker-dealer
from the advisor's own disclosure
As of · the advisors' Form U4 disclosures and the public records linked below
- Registered advisors
- 6
- Public records
- 1
- Other people named
- hidden
- Formed
- 2011
first Form ADV filing
As of · the advisors' Form U4 disclosures and the public records linked below
What it doesHow this is writtenThe description comes from the named source: the advisor’s own disclosure, the company’s website, its SEC Form D industry group, or the NAICS code on an SBA loan. DFX does not restate a legal purpose clause and does not write a description it could not source.
in the words of the record named beside it
- Business
- Broker-dealerreportedthe advisor's own disclosure
- Type
- Affiliate of the employerderived
- Formed
- Dec 22, 2011reportedfirst Form ADV filing
- Status
- ApprovedreportedForm ADV
Observed operations
figures a public record reports; nothing estimated
- Regulatory Aum
- $3.7BreportedForm ADV, Apr 13, 2026
- Advisory Staff
- 180reportedForm ADV, Apr 13, 2026
Recent activity
- Colleagues at one firm disclose itSep 1, 2012 · printed start date
PeopleWhat these connections meanAdvisors are listed because each disclosed this company on their own Form U4. Other people are listed because a public record names them with it (an SEC Form D related person, a state registry principal). These are observed business connections. DFX does not know, and does not suggest, that any of them are an advisor’s clients.
registered advisors who disclosed it, and people other public records name
- B•••• M•••••• C••••••• · Other role · since 2012-09registered with C•••••••
5 more registered advisors name a company with this name in this state; their disclosures are not yet reviewed, so they are counted, not listed.
Related network
counts across the records on this page
- Registered advisors
- 6reportedself-disclosed
- Their firms
- 1derived
- Other people named
- hiddenreported
- Earliest advisor involvement
- 2012-09reportedstart date the advisor printed
Sources and evidence
- Registered investment adviser (Form ADV)exact name, same statecrd: 7995 · city: DAVENPORT · name: A••••• F•••••••• P•••••••• I••• · website: t•••••••••.com · raum total: 3733313940 · sec status: Approved · iar employees: 180 · first filed at: 2011-12-22