DFX Intelligence
RIA Intelligence
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Registered advisor
R••••• A•• C•••
Feed of 09/14/2026
At current firm
5 y
since Jun 15, 2021
In the industry
32 y
since Mar 18, 1994 (earliest exam, job or registration)
Prior registered firms
3
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
- L•• F•••••••• L•• BD affiliated currentsince Jun 15, 2021 · Woodford, Va
- O•••• F•• I••• formerJan 2, 2014 to Jun 14, 2021 · Newport News, Va
- L•• F•••••••• L•• BD affiliatedJul 30, 2007 to Jan 9, 2014 · Woodford, Va
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedJan 3, 2003 to Jul 30, 2007 · Fredericksburg, Va
Moves
a registration end followed by a registration begin elsewhere
- O•••• F•• I••• to L•• F•••••••• L••left Jun 14, 2021, registered Jun 15, 2021 (1 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to O•••• F•• I•••left Jan 9, 2014, registered Jan 2, 2014 (-7 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to L•• F•••••••• L••left Jul 30, 2007, registered Jul 30, 2007 (0 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address