DFX Intelligence
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Registered advisor
A•••• W••••• L••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as A•••• W••••• L••••
At current firm
9 y
since Oct 21, 2016
In the industry
28 y
since Apr 24, 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
0
dated events on this person
Registration history
IAPD current and previous registrations
- V••••••• A•••••••• I••• BD affiliated currentsince Oct 21, 2016 · Charlotte, Nc
- T•• F•••••••• G••••• L•• unclassifiedOct 31, 2007 to Oct 21, 2008 · Charlotte, Nc
- W•••••• • R••• formerDec 12, 2006 to Nov 2, 2007 · Charlotte, Nc
- C•••••• F•••••••• P••••••• • E••••••••• L•• unclassifiedMay 17, 2006 to Nov 29, 2006 · C••••••, Nc
- A••••• A•• P••••••• S••••••• BD affiliatedMar 29, 2005 to Feb 8, 2006 · Charlotte, Nc
- T•••••••• T•••• C••••••• F•• unclassifiedJul 10, 2003 to Mar 29, 2005 · St. Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- T•• F•••••••• G••••• L•• to V••••••• A•••••••• I•••left Oct 21, 2008, registered Oct 21, 2016 (2922 days) · Other
- W•••••• • R••• to T•• F•••••••• G••••• L••left Nov 2, 2007, registered Oct 31, 2007 (-2 days) · Other
- C•••••• F•••••••• P••••••• • E••••••••• L•• to W•••••• • R•••left Nov 29, 2006, registered Dec 12, 2006 (13 days) · Other
- A••••• A•• P••••••• S••••••• to C•••••• F•••••••• P••••••• • E••••••••• L••left Feb 8, 2006, registered May 17, 2006 (98 days) · Other
- T•••••••• T•••• C••••••• F•• to A••••• A•• P••••••• S•••••••left Mar 29, 2005, registered Mar 29, 2005 (0 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
- 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