DFX Intelligence
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Registered advisor
S•••• S•••••
Feed of 09/14/2026
Also filed as S••••• R••••• S••••••••• R••••• S••••••••• S•••••
At current firm
1 y
since Mar 31, 2025
In the industry
33 y
since Jan 25, 1993 (earliest exam, job or registration)
Prior registered firms
8
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Brooksville, Fl
- F••••••• P••••••• A•• W•••••••• A••••••• formerSep 10, 2021 to Mar 31, 2025 · Covington, Ky
- W•••• F•••• A••••••• wirehouseMay 10, 2021 to Jun 17, 2021 · Jacksonville, Fl
- M••••• S•••••• wirehouseJun 26, 2019 to May 10, 2021 · Tampa, Fl
- C•••••• S••••• • C••• I••• national BDOct 4, 2011 to Jun 12, 2019 · Austin, Tx
- T• A••••••••• I••••••••• M••••••••• L•• formerApr 4, 2011 to Sep 20, 2011 · Ponte Vedra Beach, Fl
All 8 prior registrationsShow fewer
- T• A••••••••• I••• formerMar 11, 2011 to Sep 20, 2011 · Jacksonville, Fl
- S•••••••• A••••••• L•• national BDSep 9, 2009 to Mar 2, 2011 · Jacksonville, Fl
- S•••••••• A••••••• L•• national BDOct 15, 2008 to Sep 8, 2009 · Jacksonville, Fl
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Jun 17, 2021, registered Sep 10, 2021 (85 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- M••••• S•••••• to W•••• F•••• A•••••••left May 10, 2021, registered May 10, 2021 (0 days) · Wirehouse to wirehouse
- C•••••• S••••• • C••• I••• to M••••• S••••••left Jun 12, 2019, registered Jun 26, 2019 (14 days) · Affiliated broker-dealer or bank to wirehouse
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Sep 20, 2011, registered Oct 4, 2011 (14 days) · Other
All 7 movesShow fewer
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Sep 20, 2011, registered Apr 4, 2011 (-169 days) · channel change inside one enterprise, not a move
- S•••••••• A••••••• L•• to T• A••••••••• I•••left Mar 2, 2011, registered Mar 11, 2011 (9 days) · Affiliated broker-dealer or bank to a newly registered adviser
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
- National broker-dealer RIAderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address