DFX Intelligence
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Registered advisor
B•••• R•••••• S•••••••
Feed of 09/14/2026
At current firm
13 y
since May 1, 2013
In the industry
22 y
since Sep 13, 2004 (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
S66, 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
- A••••• A•• P••••••• S••••••• BD affiliated currentsince May 1, 2013 · Charlotte, Nc
- L•• F•••••••• L•• BD affiliatedJun 27, 2012 to Apr 15, 2013 · Charlotte, Nc
- B••• A•••• M••••••••• I••• unclassifiedJan 12, 2010 to Jul 13, 2010 · Charlotte, Nc
- W•••• F•••• A••••••• wirehouseApr 27, 2009 to May 13, 2009 · Columbia, Sc
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to A••••• A•• P••••••• S•••••••left Apr 15, 2013, registered May 1, 2013 (16 days) · Other
- B••• A•••• M••••••••• I••• to L•• F•••••••• L••left Jul 13, 2010, registered Jun 27, 2012 (715 days) · Other
- W•••• F•••• A••••••• to B••• A•••• M••••••••• I•••left May 13, 2009, registered Jan 12, 2010 (244 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address