DFX Intelligence
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Registered advisor
D•••• N•• S••••
Certified Financial Planner
Feed of 09/15/2026
Also filed as D•••• M••••••• N•••••••• M••••••• N•••••••• M••••••• S••••
At current firm
3 y
since Sep 15, 2023
In the industry
31 y
since Sep 14, 1995 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
2
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- R••••••••• C•••••• M••••••••• BD affiliated currentsince Nov 5, 2025 · Wilmington, Nc
- R••••••••• C•••••• M••••••••• BD affiliated currentsince Sep 15, 2023 · Atlanta, Ga
- U•• F•••••••• S••••••• I••• wirehouseOct 18, 2013 to Sep 26, 2023 · Wilmington, Nc
- M••••• S•••••• wirehouseJun 1, 2009 to Oct 24, 2013 · Wilmington, Nc
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Wilmington, Nc
- M••••• S•••••• D• I••• unclassifiedDec 31, 2001 to Apr 2, 2007 · Wilmington, Nc
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to R••••••••• C•••••• M•••••••••left Sep 26, 2023, registered Sep 15, 2023 (-11 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- M••••• S•••••• to U•• F•••••••• S••••••• I•••left Oct 24, 2013, registered Oct 18, 2013 (-6 days) · Wirehouse to wirehouse
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedSep 26, 2023 · Advisor changed firm · fact
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
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