DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
S••••• D••••• T•••••
Feed of 09/14/2026
Also filed as S••••• T•••••
At current firm
1 y
since Sep 5, 2025
In the industry
30 y
since Nov 14, 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, S66
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•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Sep 5, 2025 · Ridgeland, Ms
- L•• F•••••••• L•• BD affiliatedAug 31, 2012 to Sep 11, 2025 · Madison, Ms
- M••••• S•••••• wirehouseJun 1, 2009 to Sep 11, 2012 · Jackson, Ms
- C•••••••• G••••• M•••••• I••• BD affiliatedJul 6, 2007 to Jun 1, 2009 · Jackson, Ms
- A• G• E•••••• • S•••• I••• unclassifiedNov 3, 2003 to Jan 12, 2005 · Ridgeland, Ms
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Sep 11, 2025, registered Sep 5, 2025 (-6 days) · Affiliated broker-dealer or bank to another · moved with a team
- M••••• S•••••• to L•• F•••••••• L••left Sep 11, 2012, registered Aug 31, 2012 (-11 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- A• G• E•••••• • S•••• I••• to C•••••••• G••••• M•••••• I•••left Jan 12, 2005, registered Jul 6, 2007 (905 days) · Other
Signals
- ••• LockedSep 11, 2025 · 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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address