DFX Intelligence
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Registered advisor
D••••• L• S••••
Feed of 09/14/2026
Also filed as D•• S•••••••• S••••••••• L•••• S••••
At current firm
12 y
since Aug 28, 2014
In the industry
27 y
since Apr 6, 1999 (earliest exam, job or registration)
Prior registered firms
3
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
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Aug 28, 2014 · Alpharetta, Ga
- P•••• S••••••••• L•• no RAUMJul 1, 2011 to Apr 14, 2014 · Atlanta, Ga
- E•••••••• A•••••••• L•• national BDDec 8, 2008 to Oct 19, 2010 · Atlanta, Ga
- E•••••••• A•••••••• L•• national BDAug 14, 2002 to Dec 2, 2008 · Atlanta, Ga
Moves
a registration end followed by a registration begin elsewhere
- P•••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 14, 2014, registered Aug 28, 2014 (136 days) · Other
- E•••••••• A•••••••• L•• to P•••• S••••••••• L••left Oct 19, 2010, registered Jul 1, 2011 (255 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
- Wirehousederived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address