DFX Intelligence
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Registered advisor
S•••••• S•••• S•••
Certified Financial Planner
Feed of 09/15/2026
At current firm
11 y
since Aug 14, 2015
In the industry
28 y
since Sep 26, 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
S66, 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 Aug 14, 2015 · Atlanta, Ga
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 19, 2005 to Jan 29, 2009 · Alpharetta, Ga
- V••••••• A•••••••• I••• BD affiliatedSep 17, 2004 to Sep 28, 2005 · Valley Forge, Pa
Moves
a registration end followed by a registration begin elsewhere
- B••• O• A•••••• I••••••••• S•••••••• I••• to W•••• F•••• A•••••••left Jan 29, 2009, registered Aug 14, 2015 (2388 days) · Other
- V••••••• A•••••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Sep 28, 2005, registered Oct 19, 2005 (21 days) · Other
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
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