DFX Intelligence
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Registered advisor
D•••• S•••••• F•••••••
Feed of 09/14/2026
Also filed as S•••• F•••••••
At current firm
19 y
since Sep 5, 2007
In the industry
44 y
since Jan 12, 1982 (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
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Sep 5, 2007 · Marietta, Ga
- A••••••••• A•••••• S•••••••• I••• unclassifiedAug 22, 2007 to Sep 10, 2007 · Atlanta, Ga
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• A•••••• S•••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Sep 10, 2007, registered Sep 5, 2007 (-5 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 44derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address