DFX Intelligence
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Registered advisor
A••• L•• W•••
Feed of 09/14/2026
At current firm
3 y
since Aug 24, 2023
In the industry
40 y
since Feb 14, 1986 (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
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince Aug 24, 2023 · Asheville, Nc
- U•• F•••••••• S••••••• I••• wirehouseMar 9, 2016 to Sep 5, 2023 · Asheville, Nc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 20, 2008 to Mar 10, 2016 · Hendersonville, Nc
- C•••••••• G••••• M•••••• I••• BD affiliatedDec 31, 2001 to Nov 3, 2008 · Hendersonville, Nc
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Sep 5, 2023, registered Aug 24, 2023 (-12 days) · Wirehouse to wirehouse · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Mar 10, 2016, registered Mar 9, 2016 (-1 days) · Wirehouse to wirehouse · moved with a team
- C•••••••• G••••• M•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 3, 2008, registered Oct 20, 2008 (-14 days) · Other
Signals
- ••• LockedSep 5, 2023 · Advisor changed firm · fact
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address