DFX Intelligence
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Registered advisor
A•• N••••• F•••••
Feed of 09/15/2026
Also filed as A•• N••••• W••••••••• F••••••••• W•••••••• F••••••••• W•••••••• F•••••
At current firm
0 y
since Feb 13, 2026
In the industry
29 y
since Jul 23, 1997 (earliest exam, job or registration)
Prior registered firms
3
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
- U••• B•••••• A•••••••• L•• BD affiliated currentsince Feb 13, 2026 · Sevierville, Tn
- U••• B•••••• I••••••••• I••• formerApr 19, 2010 to Feb 13, 2026 · Saint Paul, Mn
- S••••••• I••••••••• S•••••••• I••• formerOct 19, 2009 to Apr 16, 2010 · Knoxville, Tn
- U••• B•••••• I••••••••• I••• formerFeb 2, 2004 to Jul 1, 2008 · Newport, Tn
Moves
a registration end followed by a registration begin elsewhere
- U••• B•••••• I••••••••• I••• to U••• B•••••• A•••••••• L••left Feb 13, 2026, registered Feb 13, 2026 (0 days) · corporate re-registration, not a move
- S••••••• I••••••••• S•••••••• I••• to U••• B•••••• I••••••••• I•••left Apr 16, 2010, registered Apr 19, 2010 (3 days) · Other
- U••• B•••••• I••••••••• I••• to S••••••• I••••••••• S•••••••• I•••left Jul 1, 2008, registered Oct 19, 2009 (475 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