DFX Intelligence
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Registered advisor
M••••••• B••• B•••••••
Feed of 09/14/2026
Also filed as M••••••• B••••••••• B••••••••• B••• B•••••••
At current firm
7 y
since Aug 15, 2019
In the industry
22 y
since Oct 13, 2003 (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
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• national BD currentsince Aug 15, 2019 · Charlotte, Nc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 2, 2017 to Nov 9, 2018 · Charlotte, Nc
- W•••• F•••• A••••••• wirehouseAug 28, 2014 to Dec 18, 2015 · Roanoke, Va
- U••• F•••••••• P••••••• S••••••• formerJul 7, 2011 to Oct 9, 2012 · Tampa, Fl
- V••• F•••••••• A•••••••• I••• BD affiliatedFeb 25, 2008 to Dec 8, 2009 · Hudson, Fl
- E•••••••• A•••••••• L•• national BDOct 15, 2003 to Oct 16, 2007 · Tampa, Fl
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••• S••••• • C••• I•••left Nov 9, 2018, registered Aug 15, 2019 (279 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Dec 18, 2015, registered May 2, 2017 (501 days) · Wirehouse to wirehouse
- U••• F•••••••• P••••••• S••••••• to W•••• F•••• A•••••••left Oct 9, 2012, registered Aug 28, 2014 (688 days) · Other
- V••• F•••••••• A•••••••• I••• to U••• F•••••••• P••••••• S•••••••left Dec 8, 2009, registered Jul 7, 2011 (576 days) · Other
- E•••••••• A•••••••• L•• to V••• F•••••••• A•••••••• I•••left Oct 16, 2007, registered Feb 25, 2008 (132 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
- National broker-dealer RIAderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address