DFX Intelligence
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Registered advisor
R••• P•••••• B••••
Feed of 09/14/2026
At current firm
2 y
since Oct 13, 2023
In the industry
27 y
since Feb 4, 1999 (earliest exam, job or registration)
Prior registered firms
3
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- R••••••••• C•••••• M••••••••• BD affiliated currentsince Oct 13, 2023 · Atlanta, Ga
- U•• F•••••••• S••••••• I••• wirehouseAug 3, 2012 to Oct 24, 2023 · Atlanta, Ga
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 7, 2006 to Aug 6, 2012 · Atlanta, Ga
- C•••••••• G••••• M•••••• I••• BD affiliatedApr 16, 2003 to Aug 24, 2006 · Atlanta, Ga
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to R••••••••• C•••••• M•••••••••left Oct 24, 2023, registered Oct 13, 2023 (-11 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Aug 6, 2012, registered Aug 3, 2012 (-3 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 24, 2006, registered Sep 7, 2006 (14 days) · Other
Signals
- ••• LockedOct 24, 2023 · Advisor changed firm · fact
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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address