DFX Intelligence
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Registered advisor
A•••• E••••• C••••••
Feed of 09/14/2026
At current firm
9 y
since Mar 25, 2017
In the industry
28 y
since Dec 9, 1997 (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•• I•••••••• S•••••••• L•• BD affiliated currentsince Mar 25, 2017 · Knoxville, Tn
- M•• F•••••••• S•••••••• I••• formerOct 3, 2008 to Mar 25, 2017 · Knoxville, Tn
- P•••• S••••••••• L•• no RAUMApr 27, 2007 to Sep 22, 2008 · Knoxville, Tn
- V•••• F•••••••• A•••••••• I••• BD affiliatedSep 11, 2002 to Jan 5, 2007 · Bristol, Tn
Moves
a registration end followed by a registration begin elsewhere
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- P•••• S••••••••• L•• to M•• F•••••••• S•••••••• I•••left Sep 22, 2008, registered Oct 3, 2008 (11 days) · Other
- V•••• F•••••••• A•••••••• I••• to P•••• S••••••••• L••left Jan 5, 2007, registered Apr 27, 2007 (112 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address