DFX Intelligence
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Registered advisor
C••••••• ••••• W••• C•••••••
Feed of 09/14/2026
Also filed as C••••••• W• C••••••••• W••• C••••••••• W• C•••••••
At current firm
8 y
since Jan 8, 2018
In the industry
27 y
since Oct 23, 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
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- I••••••••• A•••••• A•••••••• L•• i••••••••• wealth currentsince Jan 8, 2018 · Nashville, Tn
- W•••• F•••• A••••••• wirehouseMar 5, 2009 to Nov 3, 2016 · Nashville, Tn
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 16, 2008 to Feb 11, 2009 · Nashville, Tn
- C•••••• S••••• • C••• I••• national BDMar 8, 2005 to Feb 9, 2007 · Los Angeles, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJul 12, 2004 to Feb 9, 2005 · Pasadena, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 14, 2004 to Jul 1, 2004 · Knoxville, Tn
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to I••••••••• A•••••• A•••••••• L••left Nov 3, 2016, registered Jan 8, 2018 (431 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Feb 11, 2009, registered Mar 5, 2009 (22 days) · Wirehouse to wirehouse
- C•••••• S••••• • C••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 9, 2007, registered Sep 16, 2008 (585 days) · Affiliated broker-dealer or bank to wirehouse
- B••• O• A•••••• I••••••••• S•••••••• I••• to C•••••• S••••• • C••• I•••left Feb 9, 2005, registered Mar 8, 2005 (27 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Jul 1, 2004, registered Jul 12, 2004 (11 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
- I••••••••• WEALTHderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address