DFX Intelligence
RIA Intelligence
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Registered advisor
C•••••• M•••• B•••••
Feed of 09/14/2026
At current firm
13 y
since Feb 13, 2013
In the industry
34 y
since May 2, 1992 (earliest exam, job or registration)
Prior registered firms
3
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
- R•••••• J•••• • A••••••••• I••• national BD currentsince Feb 13, 2013 · Jackson, Ms
- M••••• K••••• • C••••••• L•• formerMay 26, 2006 to Feb 13, 2013 · Jackson, Ms
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedFeb 28, 2006 to May 26, 2006 · Charlotte, Nc
- T•••••••• S••••••••• I••• unclassifiedAug 5, 2004 to Feb 28, 2006 · Jackson, Ms
Moves
a registration end followed by a registration begin elsewhere
- M••••• K••••• • C••••••• L•• to R•••••• J•••• • A••••••••• I•••left Feb 13, 2013, registered Feb 13, 2013 (0 days) · corporate re-registration, not a move
- U•••• F•••••••• S••••••• G••••• I••• to M••••• K••••• • C••••••• L••left May 26, 2006, registered May 26, 2006 (0 days) · Other
- T•••••••• S••••••••• I••• to U•••• F•••••••• S••••••• G••••• I•••left Feb 28, 2006, registered Feb 28, 2006 (0 days) · Other
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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address