DFX Intelligence
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Registered advisor
P••••••• A••• C•••••
Certified Financial Planner
Feed of 09/15/2026
Also filed as P••••••• A• L••••
At current firm
4 y
since Mar 24, 2022
In the industry
28 y
since Aug 14, 1998 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince Mar 24, 2022 · Winter Park, Fl
- R•••••• J•••• • A••••••••• I••• national BDFeb 13, 2013 to Apr 21, 2022 · Inverness, Fl
- M••••• K••••• • C••••••• L•• formerMar 6, 2007 to Feb 13, 2013 · Ocala, Fl
- A•••••• I••••••••• M••••••••• C•••••• L•• unclassifiedAug 1, 2003 to Feb 20, 2007 · Marion, Fl
- A•••••• I••••••••• S•••••••• I••• unclassifiedMay 13, 2003 to Jul 31, 2003 · Beverly Hills, Fl
- S••••••• I••••••••• S•••••••• I••• formerAug 14, 1998 to May 19, 2003 · Ocala, Fl
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• • A••••••••• I••• to W•••• F•••• A•••••••left Apr 21, 2022, registered Mar 24, 2022 (-28 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- M••••• K••••• • C••••••• L•• to R•••••• J•••• • A••••••••• I•••left Feb 13, 2013, registered Feb 13, 2013 (0 days) · corporate re-registration, not a move
- A•••••• I••••••••• M••••••••• C•••••• L•• to M••••• K••••• • C••••••• L••left Feb 20, 2007, registered Mar 6, 2007 (14 days) · corporate re-registration, not a move
- A•••••• I••••••••• S•••••••• I••• to A•••••• I••••••••• M••••••••• C•••••• L••left Jul 31, 2003, registered Aug 1, 2003 (1 days) · corporate re-registration, not a move
- S••••••• I••••••••• S•••••••• I••• to A•••••• I••••••••• S•••••••• I•••left May 19, 2003, registered May 13, 2003 (-6 days) · Other
Signals
- ••• LockedApr 21, 2022 · Advisor changed firm · fact
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
- Wirehousederived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address