DFX Intelligence
RIA Intelligence
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Registered advisor
R•••••• B••••••• A•••
Feed of 09/15/2026
At current firm
9 y
since Mar 13, 2017
In the industry
33 y
since Mar 4, 1993 (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
S63, S65
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 Mar 13, 2017 · Dunwoody, Ga
- N••• F•••••••• G••••• I••• formerJan 8, 2013 to Mar 13, 2017 · Atlanta, Ga
Moves
a registration end followed by a registration begin elsewhere
- N••• F•••••••• G••••• I••• to A••••••••• F•••••••• S•••••••• L••left Mar 13, 2017, registered Mar 13, 2017 (0 days) · Other · moved with a team
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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address