DFX Intelligence
RIA Intelligence
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Registered advisor
C••• W••••• S••••••
Feed of 09/15/2026
At current firm
5 y
since Mar 5, 2021
In the industry
27 y
since Aug 19, 1999 (earliest exam, job or registration)
Prior registered firms
4
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
- R•••••• J•••• • A••••••••• I••• national BD currentsince Mar 5, 2021 · Tarpon Springs, Fl
- W•••• F•••• A••••••• wirehouseAug 19, 2011 to Mar 15, 2021 · Clearwater, Fl
- M••••• S•••••• wirehouseJun 1, 2009 to Sep 6, 2011 · Palm Harbor, Fl
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Palm Harbor, Fl
- M••••• S•••••• D• I••• unclassifiedAug 19, 1999 to Apr 2, 2007 · Palm Harbor, Fl
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to R•••••• J•••• • A••••••••• I•••left Mar 15, 2021, registered Mar 5, 2021 (-10 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- M••••• S•••••• to W•••• F•••• A•••••••left Sep 6, 2011, registered Aug 19, 2011 (-18 days) · Wirehouse to wirehouse
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address