DFX Intelligence
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Registered advisor
R•• F•••••••• P•••
Feed of 09/14/2026
Also filed as R•• F•••••••• P••••••• F•••••••• P•••
At current firm
13 y
since Feb 13, 2013
In the industry
43 y
since Dec 17, 1982 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
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
- R•••••• J•••• • A••••••••• I••• national BD currentsince Feb 13, 2013 · Raleigh, Nc
- M••••• K••••• • C••••••• L•• formerJul 6, 2006 to Feb 13, 2013 · Raleigh, Nc
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 21, 2006 to Jul 17, 2006 · New York, Ny
- L••• M•••• W••• W•••••• I••••••••• unclassifiedDec 31, 2001 to Feb 21, 2006 · Raleigh, Nc
Moves
a registration end followed by a registration begin elsewhere
- M••••• K••••• • C••••••• L•• to R•••••• J•••• • A••••••••• I•••left Feb 13, 2013, registered Feb 13, 2013 (0 days) · corporate re-registration, not a move
- C•••••••• G••••• M•••••• I••• to M••••• K••••• • C••••••• L••left Jul 17, 2006, registered Jul 6, 2006 (-11 days) · Other
- L••• M•••• W••• W•••••• I••••••••• to C•••••••• G••••• M•••••• I•••left Feb 21, 2006, registered Feb 21, 2006 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The 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.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address