DFX Intelligence
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Registered advisor
R••••• R••••••
Chartered Financial Analyst
Feed of 09/14/2026
At current firm
3 y
since Aug 24, 2023
In the industry
33 y
since Sep 21, 1993 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
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
- T• R••• P•••• A••••••••• I••• asset manager currentsince Aug 24, 2023 · Matthews, Nc
- L•• F•••••••• L•• BD affiliatedMar 4, 2015 to Oct 6, 2016 · Tampa, Fl
- R•••••• C••••••• L••••• unclassifiedMar 31, 2006 to Jul 21, 2006 · Tampa, Fl
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to T• R••• P•••• A••••••••• I•••left Oct 6, 2016, registered Aug 24, 2023 (2513 days) · Other
- R•••••• C••••••• L••••• to L•• F•••••••• L••left Jul 21, 2006, registered Mar 4, 2015 (3148 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
- Asset manager (funds and pooled vehicles)derived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address