DFX Intelligence
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Registered advisor
S••••• F•••••• V•••••
Feed of 09/15/2026
Also filed as S•• V•••••
At current firm
14 y
since May 18, 2012
In the industry
27 y
since Feb 19, 1999 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince May 18, 2012 · Wilmington, Nc
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJan 2, 2009 to May 21, 2012 · Winston Salem, Nc
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedNov 28, 2007 to Jan 2, 2009 · Winston-Salem, Nc
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedOct 19, 2005 to Nov 13, 2007 · Winston-Salem, Nc
- L••• M•••• W••• W•••••• I••••••••• unclassifiedDec 31, 2001 to May 3, 2005 · Winston-Salem, Nc
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to W•••• F•••• A•••••••left May 21, 2012, registered May 18, 2012 (-3 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jan 2, 2009, registered Jan 2, 2009 (0 days) · corporate re-registration, not a move
- U•••• F•••••••• S••••••• G••••• I••• to R•••••• J•••• F•••••••• S•••••••• I•••left Nov 13, 2007, registered Nov 28, 2007 (15 days) · Other
- L••• M•••• W••• W•••••• I••••••••• to U•••• F•••••••• S••••••• G••••• I•••left May 3, 2005, registered Oct 19, 2005 (169 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
- Wirehousederived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address