DFX Intelligence
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Registered advisor
R••••• S•••••• C•••••••
Feed of 09/14/2026
Also filed as R••••• S•••••• C••••••••• S•••••• C•••••••
At current firm
11 y
since Jun 3, 2015
In the industry
31 y
since Jul 19, 1995 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
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
- O•••• I••••••••• I••• BD affiliated currentsince Jun 3, 2015 · Richmond, Va
- W•••• F•••• A••••••• wirehouseMar 18, 2011 to May 27, 2015 · Richmond, Va
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Mar 22, 2011 · Richmond, Va
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJul 18, 2008 to Oct 23, 2009 · Richmond, Va
- W•••• F•••• A••••••• wirehouseJan 9, 2002 to Jul 22, 2008 · Richmond, Va
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to O•••• I••••••••• I•••left May 27, 2015, registered Jun 3, 2015 (7 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Mar 22, 2011, registered Mar 18, 2011 (-4 days) · Wirehouse to wirehouse
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Jul 22, 2008, registered Jul 18, 2008 (-4 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address