DFX Intelligence
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Registered advisor
E•••• F• H•••
Feed of 09/15/2026
Also filed as F•••• H••••••••• F••••••• H••••• F••••••• H•••
At current firm
22 y
since Apr 12, 2004
In the industry
41 y
since Mar 18, 1985 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
3
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 Apr 12, 2004 · Winston-Salem, Nc
- C••• A••••••• S••••••• unclassifiedDec 31, 2000 to Apr 12, 2004 · Winston-Salem, Nc
Moves
a registration end followed by a registration begin elsewhere
- C••• A••••••• S••••••• to P••• A••••• S••••••••• L••left Apr 12, 2004, registered Apr 12, 2004 (0 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
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address