DFX Intelligence
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Registered advisor
C••• B•••• C•••••••
Feed of 09/15/2026
Also filed as C••• B•••• C•••••••
At current firm
2 y
since Nov 2, 2023
In the industry
28 y
since Oct 4, 1997 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
4
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- N•••••• A••••••• BD affiliated currentsince Nov 2, 2023 · New Orleans, La
- M•• I•••••••• S•••••••• L•• BD affiliatedFeb 13, 2003 to Nov 1, 2023 · St. Simons Island, Ga
Moves
a registration end followed by a registration begin elsewhere
- M•• I•••••••• S•••••••• L•• to N•••••• A•••••••left Nov 1, 2023, registered Nov 2, 2023 (1 days) · Affiliated broker-dealer or bank to another · moved with a team
Signals
- ••• LockedNov 1, 2023 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address