DFX Intelligence
RIA 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
D•••• N•••••• A•••••
Feed of 09/15/2026
Also filed as D•••• N A•••••
At current firm
12 y
since Nov 18, 2013
In the industry
29 y
since Feb 8, 1997 (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
S65, 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
- L•• F•••••••• L•• BD affiliated currentsince Nov 18, 2013 · Bruce, Ms
- O•••• I••••••••• I••• BD affiliatedSep 27, 2011 to Nov 27, 2013 · Tupelo, Ms
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedOct 1, 2004 to Sep 21, 2011 · Tupelo, Ms
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 12, 1999 to Oct 6, 2004 · Tupelo, Ms
Moves
a registration end followed by a registration begin elsewhere
- O•••• I••••••••• I••• to L•• F•••••••• L••left Nov 27, 2013, registered Nov 18, 2013 (-9 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to O•••• I••••••••• I•••left Sep 21, 2011, registered Sep 27, 2011 (6 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•••• F•••••••• S••••••• G••••• I•••left Oct 6, 2004, registered Oct 1, 2004 (-5 days) · Other
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address