DFX Intelligence
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Registered advisor
S••••• E• C•••••
Feed of 09/14/2026
Also filed as S••••• E• C•••••
At current firm
1 y
since Apr 5, 2025
In the industry
26 y
since Dec 7, 1999 (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
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Apr 5, 2025 · Warrenton, Va
- B• R•••• W••••• A•••••••• I••• BD affiliatedAug 8, 2022 to Apr 7, 2025 · Warrenton, Va
- B• R•••• W••••• M••••••••• formerJul 27, 2021 to Dec 31, 2022 · Warrenton, Va
- T••••• A••••••• S•••••••• I••• BD affiliatedFeb 17, 2021 to Jul 27, 2021 · Atlanta, Ga
- B••• S••••••••• L•• formerJan 2, 2013 to Feb 17, 2021 · Warrenton, Va
- S•••• • S••••••••• L•• formerFeb 29, 2012 to Jan 2, 2013 · Warrenton, Va
Moves
a registration end followed by a registration begin elsewhere
- B• R•••• W••••• A•••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Apr 7, 2025, registered Apr 5, 2025 (-2 days) · corporate re-registration, not a move
- B• R•••• W••••• M••••••••• to B• R•••• W••••• A•••••••• I•••left Dec 31, 2022, registered Aug 8, 2022 (-145 days) · corporate re-registration, not a move
- T••••• A••••••• S•••••••• I••• to B• R•••• W••••• M•••••••••left Jul 27, 2021, registered Jul 27, 2021 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
- B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••left Feb 17, 2021, registered Feb 17, 2021 (0 days) · corporate re-registration, not a move
- S•••• • S••••••••• L•• to B••• S••••••••• L••left Jan 2, 2013, registered Jan 2, 2013 (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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address