DFX Intelligence
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Registered advisor
C•••••••• L•• D•••••
Feed of 09/14/2026
Also filed as C•••••••• L•• W••••••••• D•••••
At current firm
10 y
since Sep 1, 2016
In the industry
33 y
since Sep 25, 1992 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
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 Sep 1, 2016 · Augusta, Ga
- W•••• F•••• A••••••• wirehouseAug 6, 2009 to Jan 20, 2015 · Pensacola, Fl
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to T••••• A••••••• S•••••••• I•••left Jan 20, 2015, registered Sep 1, 2016 (590 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address