DFX Intelligence
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Registered advisor
A••••• W••• H•••
Feed of 09/14/2026
Also filed as A••••• R•••• W••••••••• W••• S••••••••• W••••••••• R•••• S••••••••• R•••• S••••••••• W••• S•••••
At current firm
2 y
since Jun 26, 2024
In the industry
26 y
since May 15, 2000 (earliest exam, job or registration)
Prior registered firms
7
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Jun 26, 2024 · Burlington, Nc
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedSep 1, 2015 to Jul 2, 2024 · Burlington, Nc
- W•••• F•••• A••••••• wirehouseJun 14, 2010 to Sep 1, 2015 · Reidsville, Nc
- L•• F•••••••• L•• BD affiliatedOct 30, 2007 to Jun 2, 2010 · Burlington, Nc
- S••••••• I••••••••• S•••••••• I••• formerJan 3, 2005 to Nov 15, 2007 · Burlington, Nc
- N•• F•••••••• S•••••••• I••• unclassifiedSep 23, 2004 to Jan 3, 2005 · Burlington, Nc
- C•••••••• G••••• M•••••• I••• BD affiliatedJul 7, 2004 to Oct 4, 2004 · Greensboro, Nc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 20, 2002 to Jul 7, 2004 · Burlington, Nc
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to L•• F•••••••• L••left Jul 2, 2024, registered Jun 26, 2024 (-6 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Sep 1, 2015, registered Sep 1, 2015 (0 days) · Other
- L•• F•••••••• L•• to W•••• F•••• A•••••••left Jun 2, 2010, registered Jun 14, 2010 (12 days) · Other
- S••••••• I••••••••• S•••••••• I••• to L•• F•••••••• L••left Nov 15, 2007, registered Oct 30, 2007 (-16 days) · Other
- N•• F•••••••• S•••••••• I••• to S••••••• I••••••••• S•••••••• I•••left Jan 3, 2005, registered Jan 3, 2005 (0 days) · corporate re-registration, not a move
- C•••••••• G••••• M•••••• I••• to N•• F•••••••• S•••••••• I•••left Oct 4, 2004, registered Sep 23, 2004 (-11 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• G••••• M•••••• I•••left Jul 7, 2004, registered Jul 7, 2004 (0 days) · Other
Signals
- ••• LockedJul 2, 2024 · 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address