DFX Intelligence
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Registered advisor
D•••••• L• D••••
Chartered Financial Consultant
Feed of 09/14/2026
Also filed as C•••• D••••••••• L•• D••••
At current firm
20 y
since Jul 20, 2006
In the industry
34 y
since Dec 5, 1991 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
9
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
- P••• A••••• S••••••••• L•• BD affiliated currentsince Jul 20, 2006 · Brentwood, Tn
- P•••••••• P••••••• A•••••••• I••• unclassifiedSep 22, 2005 to Dec 31, 2010 · Brentwood, Tn
- N•• E•••••• S••••••••• C••••••••• formerFeb 20, 2004 to Dec 8, 2004 · Nashville, Tn
Moves
a registration end followed by a registration begin elsewhere
- P•••••••• P••••••• A•••••••• I••• to P••• A••••• S••••••••• L••left Dec 31, 2010, registered Jul 20, 2006 (-1625 days) · Other
- N•• E•••••• S••••••••• C••••••••• to P•••••••• P••••••• A•••••••• I•••left Dec 8, 2004, registered Sep 22, 2005 (288 days) · Other
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address