DFX Intelligence
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Registered advisor
T••••• D•••• D•••••••
Feed of 09/14/2026
At current firm
14 y
since Apr 4, 2012
In the industry
38 y
since Mar 2, 1988 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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 Apr 4, 2012 · Charleston, Sc
- U•• F•••••••• S••••••• I••• wirehouseAug 29, 2005 to Apr 12, 2012 · Charleston, Sc
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Apr 12, 2012, registered Apr 4, 2012 (-8 days) · Wirehouse to wirehouse
Signals
- T••••• D•••• D••••••• no longer holds an investment adviser registration (last listed at W•••• F•••• A••••••• on the 2026-09-16 feed)Sep 16, 2026 · Advisor registration ended · derived
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
- Wirehousederived
- Years in industry
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address