DFX Intelligence
RIA Intelligence
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Registered advisor
S•••• P••••• S•••
Feed of 09/14/2026
At current firm
9 y
since Sep 27, 2016
In the industry
28 y
since May 21, 1998 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Sep 27, 2016 · North Chesterfield, Va
- F•••• C••••••• I••••••• S•••••••• I••• BD affiliatedJun 21, 2001 to Jun 8, 2004 · South Hill, Va
Moves
a registration end followed by a registration begin elsewhere
- F•••• C••••••• I••••••• S•••••••• I••• to T••••• A••••••• S•••••••• I•••left Jun 8, 2004, registered Sep 27, 2016 (4494 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address