DFX Intelligence
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Registered advisor
C•••••• A•••• B••••
Feed of 09/14/2026
Also filed as C•••••• A•••• B••••••••• A•••• B••••
At current firm
17 y
since Aug 14, 2009
In the industry
29 y
since Aug 7, 1997 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
3
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
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Aug 14, 2009 · Augusta, Ga
- U•• F•••••••• S••••••• I••• wirehouseAug 6, 2003 to Aug 14, 2009 · Augusta, Ga
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Aug 13, 2003 · Augusta, Ga
- P••••••••• E••••• G••••• L•• unclassifiedApr 11, 2003 to Jul 1, 2003 · Augusta, Ga
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Aug 14, 2009, registered Aug 14, 2009 (0 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• A••••••• to U•• F•••••••• S••••••• I•••left Aug 13, 2003, registered Aug 6, 2003 (-7 days) · Wirehouse to wirehouse
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move
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
- National broker-dealer RIAderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address