DFX Intelligence
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Registered advisor
M••••••• A•••••
Feed of 09/14/2026
Also filed as M••••• I•••• A••••••••• I•••• A•••••
At current firm
7 y
since Aug 16, 2019
In the industry
37 y
since Aug 1, 1989 (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
- W•••• F•••• A••••••• wirehouse currentsince Aug 16, 2019 · Atlanta, Ga
- W•••• F•••• A••••••• wirehouseMay 20, 2009 to Aug 15, 2019 · Atlanta, Ga
- C•••••••• G••••• M•••••• I••• BD affiliatedNov 25, 2003 to May 27, 2009 · Atlanta, Ga
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to W•••• F•••• A•••••••left Aug 15, 2019, registered Aug 16, 2019 (1 days) · channel change inside one enterprise, not a move
- C•••••••• G••••• M•••••• I••• to W•••• F•••• A•••••••left May 27, 2009, registered May 20, 2009 (-7 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
- Wirehousederived
- Years in industry
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address