DFX Intelligence
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Registered advisor
C•••• W••••• O•••••
Feed of 09/14/2026
Also filed as C••• O•••••
At current firm
5 y
since Feb 17, 2021
In the industry
33 y
since Jun 21, 1993 (earliest exam, job or registration)
Prior registered firms
5
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
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Feb 17, 2021 · Morehead City, Nc
- B••• S••••••••• L•• formerMay 13, 2013 to Feb 17, 2021 · Morehead City, Nc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to May 13, 2013 · New Bern, Nc
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedSep 26, 2008 to Oct 23, 2009 · Raleigh, Nc
- W•••• F•••• A••••••• wirehouseSep 20, 2002 to Sep 30, 2008 · New Bern, Nc
- J•• L•••••• S••••••••• I••• unclassifiedDec 31, 2001 to Sep 9, 2002 · Morehead City, Nc
Moves
a registration end followed by a registration begin elsewhere
- B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••left Feb 17, 2021, registered Feb 17, 2021 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B••• S••••••••• L••left May 13, 2013, registered May 13, 2013 (0 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Sep 30, 2008, registered Sep 26, 2008 (-4 days) · Other
- J•• L•••••• S••••••••• I••• to W•••• F•••• A•••••••left Sep 9, 2002, registered Sep 20, 2002 (11 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The 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.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address