DFX Intelligence
RIA Intelligence
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Registered advisor
T•••••• P•••• D••••
Feed of 09/15/2026
At current firm
9 y
since Feb 6, 2017
In the industry
27 y
since Nov 24, 1998 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
2
current registrations
Exams
S65, 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
- L•••••• I••••••••• independent RIA currentsince Apr 2, 2019 · Ball Ground, Ga
- C•••••• A••••••• BD affiliated currentsince Feb 6, 2017 · Dawsonville, Ga
- L••••• A•••••••• L•• formerMar 6, 2003 to Oct 4, 2019 · Palm Beach Gardens, Fl
Moves
a registration end followed by a registration begin elsewhere
- L••••• A•••••••• L•• to C•••••• A•••••••left Oct 4, 2019, registered Feb 6, 2017 (-970 days) · channel change inside one enterprise, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address