DFX Intelligence
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Feed of 09/15/2026
Also filed as R••••• S•••••• P••••••••• S•••••• P••••••••• S• P••••••••• S• P••••••••• P•••••
At current firm
4 y
since Mar 24, 2022
In the industry
33 y
since Oct 23, 1992 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- M••••• S•••••• wirehouse currentsince Mar 24, 2022 · Atlanta, Ga
- U•• F•••••••• S••••••• I••• wirehouseJan 2, 2009 to Apr 4, 2022 · St. Simons, Ga
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jan 6, 2009 · St. Simons Island, Ga
- M••••• S•••••• D• I••• unclassifiedFeb 25, 2003 to Apr 2, 2007 · St. Simons Island, Ga
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to M••••• S••••••left Apr 4, 2022, registered Mar 24, 2022 (-11 days) · Wirehouse to wirehouse · moved with a team
- M••••• S•••••• • C•• L•• to U•• F•••••••• S••••••• I•••left Jan 6, 2009, registered Jan 2, 2009 (-4 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedApr 4, 2022 · Advisor changed firm · fact
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
- Wirehousederived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address