DFX Intelligence
RIA Intelligence
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Feed of 09/14/2026
Also filed as G••• D••••
At current firm
5 y
since Jul 2, 2021
In the industry
31 y
since Aug 31, 1995 (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
- C••••••• institutional currentsince Jul 2, 2021 · Greenville, Sc
- N•••••• N•••••• • P••••••• I••• formerMay 1, 2018 to Nov 12, 2021 · Greenville, Sc
- W•••• F•••• A••••••• wirehouseSep 19, 2007 to May 1, 2018 · Greenville, Sc
- W•••• F•••• A••••••• wirehouseJun 15, 2002 to Sep 7, 2007 · Greenville, Sc
Moves
a registration end followed by a registration begin elsewhere
- N•••••• N•••••• • P••••••• I••• to C•••••••left Nov 12, 2021, registered Jul 2, 2021 (-133 days) · Other · moved with a team
- W•••• F•••• A••••••• to N•••••• N•••••• • P••••••• I•••left May 1, 2018, registered May 1, 2018 (0 days) · Wirehouse to a newly registered adviser (no RAUM reported yet) · moved with a team
- W•••• F•••• A••••••• to W•••• F•••• A•••••••left Sep 7, 2007, registered Sep 19, 2007 (12 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
- Institutional managerderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address