DFX Intelligence
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Registered advisor
S••••• E••••• S•••••
Feed of 09/14/2026
Also filed as S••••• S•••••
At current firm
9 y
since Aug 23, 2017
In the industry
22 y
since Jan 12, 2004 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince Aug 23, 2017 · Alpharetta, Ga
- R•• C•••••• M••••••• L•• national BDOct 4, 2016 to Mar 29, 2017 · Atlanta, Ga
- W•••• F•••• A••••••• wirehouseFeb 23, 2009 to Sep 21, 2016 · Atlanta, Ga
- F•• S••••••••• C••••••••• formerOct 22, 2007 to Dec 15, 2008 · Atlanta, Ga
- N••••••••• M••••• I••••••••• S••••••••• no RAUMMay 9, 2007 to Oct 23, 2007 · Atlanta, Ga
- O•••• F•• I••• formerMar 9, 2005 to Apr 24, 2007 · Atlanta, Ga
- S••••••• I••••••••• S•••••••• I••• formerJan 15, 2004 to Mar 17, 2005 · Atlanta, Ga
Moves
a registration end followed by a registration begin elsewhere
- R•• C•••••• M••••••• L•• to W•••• F•••• A•••••••left Mar 29, 2017, registered Aug 23, 2017 (147 days) · Affiliated broker-dealer or bank to wirehouse
- W•••• F•••• A••••••• to R•• C•••••• M••••••• L••left Sep 21, 2016, registered Oct 4, 2016 (13 days) · Wirehouse to affiliated broker-dealer or bank
- F•• S••••••••• C••••••••• to W•••• F•••• A•••••••left Dec 15, 2008, registered Feb 23, 2009 (70 days) · Other
- N••••••••• M••••• I••••••••• S••••••••• to F•• S••••••••• C•••••••••left Oct 23, 2007, registered Oct 22, 2007 (-1 days) · Other
- O•••• F•• I••• to N••••••••• M••••• I••••••••• S•••••••••left Apr 24, 2007, registered May 9, 2007 (15 days) · Other
- S••••••• I••••••••• S•••••••• I••• to O•••• F•• I•••left Mar 17, 2005, registered Mar 9, 2005 (-8 days) · Other
Signals
No dated event on this person.
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
- Wirehousederived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address