DFX Intelligence
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Feed of 09/14/2026
At current firm
11 y
since Apr 15, 2015
In the industry
32 y
since Dec 3, 1993 (earliest exam, job or registration)
Prior registered firms
2
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
- C••••••• institutional currentsince Apr 15, 2015 · Raleigh, Nc
- W•••• F•••• A••••••• wirehouseJun 15, 2002 to Oct 17, 2003 · Raleigh, Nc
- C••••••• F•••••••• A•••••••• L•• unclassifiedOct 1, 1997 to Jun 20, 2002 · Raleigh, Nc
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to C•••••••left Oct 17, 2003, registered Apr 15, 2015 (4198 days) · Other
- C••••••• F•••••••• A•••••••• L•• to W•••• F•••• A•••••••left Jun 20, 2002, registered Jun 15, 2002 (-5 days) · corporate re-registration, not a move
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