DFX Intelligence
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Registered advisor
C•••• T••••• B••••••
Feed of 09/14/2026
Also filed as C•••• B••••••••• T••••• B••••••••• T• B••••••
At current firm
3 y
since Aug 21, 2023
In the industry
34 y
since Feb 25, 1992 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
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
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Aug 21, 2023 · Charlotte, Nc
- L•• F•••••••• L•• BD affiliatedSep 17, 2021 to Dec 13, 2021 · Fort Mill, Sc
- A••••• A•• P••••••• S••••••• BD affiliatedJan 15, 2019 to Nov 13, 2020 · Charlotte, Nc
- B• R•••• W••••• A•••••••• I••• BD affiliatedMar 11, 2014 to Dec 31, 2018 · New York, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 30, 2012 to Feb 14, 2014 · Cranford, Nj
- C•••••• S••••• • C••• I••• national BDFeb 20, 1997 to Aug 16, 2004 · Hartford, Ct
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to T••••• A••••••• S•••••••• I•••left Dec 13, 2021, registered Aug 21, 2023 (616 days) · Affiliated broker-dealer or bank to another
- A••••• A•• P••••••• S••••••• to L•• F•••••••• L••left Nov 13, 2020, registered Sep 17, 2021 (308 days) · Affiliated broker-dealer or bank to another
- B• R•••• W••••• A•••••••• I••• to A••••• A•• P••••••• S•••••••left Dec 31, 2018, registered Jan 15, 2019 (15 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B• R•••• W••••• A•••••••• I•••left Feb 14, 2014, registered Mar 11, 2014 (25 days) · Other
- C•••••• S••••• • C••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 16, 2004, registered Mar 30, 2012 (2783 days) · Affiliated broker-dealer or bank to wirehouse
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address