DFX Intelligence
RIA Intelligence
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Registered advisor
B•••• L•• P•••••
Feed of 09/14/2026
At current firm
15 y
since Mar 9, 2011
In the industry
32 y
since Oct 25, 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
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Mar 9, 2011 · Vestavia, Al
- M•• F•••••••• S•••••••• I••• formerOct 19, 2009 to Mar 17, 2011 · Birmingham, Al
- A•••••• A••••••• S••••••• formerMay 1, 2006 to Oct 6, 2009 · Pelham, Al
Moves
a registration end followed by a registration begin elsewhere
- M•• F•••••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Mar 17, 2011, registered Mar 9, 2011 (-8 days) · Other
- A•••••• A••••••• S••••••• to M•• F•••••••• S•••••••• I•••left Oct 6, 2009, registered Oct 19, 2009 (13 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
- National broker-dealer RIAderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address