DFX Intelligence
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Registered advisor
C••• H••••••••• Y••••
Chartered Financial Analyst
Feed of 09/14/2026
At current firm
7 y
since Jun 27, 2019
In the industry
34 y
since Jul 24, 1992 (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
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
- T••••• C••••••• L•• other currentsince Jun 27, 2019 · Charlotte, Nc
- T••••• C••••••• L•• formerApr 28, 2017 to Aug 30, 2017 · Charlotte, Nc
- R•••••• J•••• • A••••••••• I••• national BDFeb 13, 2013 to May 12, 2017 · Charlotte, Nc
- M••••• K••••• • C••••••• L•• formerDec 31, 2001 to Feb 13, 2013 · Charlotte, Nc
Moves
a registration end followed by a registration begin elsewhere
- T••••• C••••••• L•• to T••••• C••••••• L••left Aug 30, 2017, registered Jun 27, 2019 (666 days) · channel change inside one enterprise, not a move
- R•••••• J•••• • A••••••••• I••• to T••••• C••••••• L••left May 12, 2017, registered Apr 28, 2017 (-14 days) · Affiliated broker-dealer or bank to a newly registered adviser
- 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
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Other adviserderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address