DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
A••• B•••• L•••••
Feed of 09/15/2026
Also filed as A••• B• L•••••
At current firm
2 y
since May 3, 2024
In the industry
34 y
since Jan 31, 1992 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- R••••••••• C•••••• M••••••••• BD affiliated currentsince May 3, 2024 · Palm Beach Gardens, Fl
- M••••• S•••••• wirehouseJun 1, 2009 to May 16, 2024 · Charlotte, Nc
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Charlotte, Nc
- M••••• S•••••• D• I••• unclassifiedAug 19, 2005 to Apr 2, 2007 · Charlotte, Nc
- L••• M•••• W••• W•••••• I••••••••• unclassifiedDec 31, 2001 to Aug 23, 2005 · Charlotte, Nc
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to R••••••••• C•••••• M•••••••••left May 16, 2024, registered May 3, 2024 (-13 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- L••• M•••• W••• W•••••• I••••••••• to M••••• S•••••• D• I•••left Aug 23, 2005, registered Aug 19, 2005 (-4 days) · Other
Signals
- ••• LockedMay 16, 2024 · Advisor changed firm · fact
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