DFX Intelligence
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Registered advisor
D••••• W•••• M••••••
Feed of 09/14/2026
Also filed as D••••• M••••••••• W• M••••••
At current firm
12 y
since Mar 3, 2014
In the industry
39 y
since Nov 7, 1986 (earliest exam, job or registration)
Prior registered firms
2
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
0
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Mar 3, 2014 · Belmont, Nc
- M•• F•••••••• S•••••••• I••• formerApr 14, 2009 to Feb 11, 2014 · Charlotte, Nc
- M•• I•••••••• S•••••••• L•• BD affiliatedApr 26, 2007 to Apr 3, 2009 · Charlotte, Nc
Moves
a registration end followed by a registration begin elsewhere
- M•• F•••••••• S•••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Feb 11, 2014, registered Mar 3, 2014 (20 days) · Other
- M•• I•••••••• S•••••••• L•• to M•• F•••••••• S•••••••• I•••left Apr 3, 2009, registered Apr 14, 2009 (11 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address