DFX Intelligence
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Registered advisor
C•••••• D• C•••••••
Feed of 09/14/2026
Also filed as C•••••• C••••••••• D•• S••••••••• D•• S••••••••• D•• C••••••••• D•• S••••••••• D•• C••••••••• C•••••••
At current firm
6 y
since Jul 21, 2020
In the industry
29 y
since Apr 7, 1997 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
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 Jul 21, 2020 · Charlottesville, Va
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 12, 2011 to Jul 22, 2020 · Richmond, Va
- W•••• F•••• A••••••• wirehouseOct 1, 2000 to Jul 27, 2011 · Richmond, Va
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Jul 22, 2020, registered Jul 21, 2020 (-1 days) · Wirehouse to wirehouse · moved with a team
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 27, 2011, registered Aug 12, 2011 (16 days) · Wirehouse to wirehouse
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
- Wirehousederived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address