DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Feed of 09/14/2026
Also filed as C••••• S••••••••• S••••••••• O•••••••
At current firm
8 y
since May 22, 2018
In the industry
32 y
since Sep 12, 1994 (earliest exam, job or registration)
Prior registered firms
1
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
- C••••••• institutional currentsince May 22, 2018 · Raleigh, Nc
- U•• F•••••••• S••••••• I••• wirehouseMar 4, 2008 to Dec 19, 2017 · Raleigh, Nc
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to C•••••••left Dec 19, 2017, registered May 22, 2018 (154 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
- Institutional managerderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address