DFX Intelligence
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Registered advisor
S•••••• G•••• T•••••••
Feed of 09/14/2026
At current firm
5 y
since Nov 23, 2020
In the industry
31 y
since Oct 12, 1994 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
4
current, as an IAR
Firms today
1
current registrations
Exams
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
- I••••••••• A•••••• A•••••••• L•• i••••••••• wealth currentsince Nov 23, 2020 · Clemson, Sc
- W•••• F•••• A••••••• wirehouseJan 1, 2008 to Nov 11, 2020 · Seneca, Sc
- A• G• E•••••• • S•••• I••• unclassifiedOct 15, 1999 to Jan 1, 2008 · Seneca, Sc
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to I••••••••• A•••••• A•••••••• L••left Nov 11, 2020, registered Nov 23, 2020 (12 days) · Wirehouse to independent RIA
- A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move
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
- I••••••••• WEALTHderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address