DFX Intelligence
RIA Intelligence
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Registered advisor
T••••• P••• B•••••
Feed of 09/15/2026
At current firm
7 y
since Nov 19, 2018
In the industry
34 y
since Jun 3, 1992 (earliest exam, job or registration)
Prior registered firms
1
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
0
dated events on this person
Registration history
IAPD current and previous registrations
- J• W• C••• A•••••••• I••• BD affiliated currentsince Nov 19, 2018 · Tampa, Fl
- B••••• I••••••••• A••••••• L•• unclassifiedApr 11, 2008 to Nov 5, 2010 · Chicago, Il
Moves
a registration end followed by a registration begin elsewhere
- B••••• I••••••••• A••••••• L•• to J• W• C••• A•••••••• I•••left Nov 5, 2010, registered Nov 19, 2018 (2936 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
- 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