DFX Intelligence
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Registered advisor
A••• E•••••••• L•••
Certified Financial Planner
Feed of 09/14/2026
Also filed as A••• E•••••••• K••••••••• E•••••••• L••••••••• K••••••••• E•••••••• L••••••••• L•••••••• E•••••••• L••••••••• L••••••••• L••••• E•••••••• L•••
At current firm
5 y
since Feb 1, 2021
In the industry
34 y
since Jul 27, 1992 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
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
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Feb 1, 2021 · Lakewood Ranch, Fl
- O•••• W•••••• I••• BD affiliatedAug 19, 2011 to Feb 9, 2021 · Greenville, Sc
- S••••••••• A•••••• A•••••••• I••• formerDec 11, 2008 to Aug 19, 2011 · Lavista, Ne
- W••••••• F•••••••• S•••••••• I••• formerDec 13, 2007 to Oct 16, 2008 · Ellenton, Fl
- L••••••••• F•••••••• S•••••••• I•• unclassifiedNov 6, 1997 to Dec 31, 2009
- C••••••••• F•••••••• N•••••• national BDAug 15, 1997 to Dec 13, 2007 · Ellenton, Fl
Moves
a registration end followed by a registration begin elsewhere
- O•••• W•••••• I••• to A••••••••• F•••••••• S•••••••• L••left Feb 9, 2021, registered Feb 1, 2021 (-8 days) · Affiliated broker-dealer or bank to another
- S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••left Aug 19, 2011, registered Aug 19, 2011 (0 days) · Other
- L••••••••• F•••••••• S•••••••• I•• to W••••••• F•••••••• S•••••••• I•••left Dec 31, 2009, registered Dec 13, 2007 (-749 days) · Other
- W••••••• F•••••••• S•••••••• I••• to S••••••••• A•••••• A•••••••• I•••left Oct 16, 2008, registered Dec 11, 2008 (56 days) · Other
- C••••••••• F•••••••• N•••••• to L••••••••• F•••••••• S•••••••• I••left Dec 13, 2007, registered Nov 6, 1997 (-3689 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
- National broker-dealer RIAderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address