DFX Intelligence
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Registered advisor
R•••• R•• R•••••••
Feed of 09/14/2026
Also filed as R•••• M•••• G••••••••• M•••• S••••••••• M• R•••••••• M•••• R•••••••• M• R•• R•••••••
At current firm
16 y
since Nov 13, 2009
In the industry
28 y
since Feb 5, 1998 (earliest exam, job or registration)
Prior registered firms
2
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
- P•• W••••• M••••••••• BD affiliated currentsince Nov 13, 2009 · Louisville, Ky
- N•••••• I••••••••• I••• unclassifiedMar 10, 2006 to Nov 13, 2009 · Louisville, Ky
- E•••••••• A•••••••• L•• national BDMar 29, 2005 to Mar 16, 2006 · Atlanta, Ga
Moves
a registration end followed by a registration begin elsewhere
- N•••••• I••••••••• I••• to P•• W••••• M•••••••••left Nov 13, 2009, registered Nov 13, 2009 (0 days) · corporate re-registration, not a move
- E•••••••• A•••••••• L•• to N•••••• I••••••••• I•••left Mar 16, 2006, registered Mar 10, 2006 (-6 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address