DFX Intelligence
RIA Intelligence
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Registered advisor
A•••• R•• R•••
Feed of 09/14/2026
At current firm
7 y
since Nov 1, 2018
In the industry
26 y
since Feb 7, 2000 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- E•••••• F•••••••• E•••••• independent RIA currentsince Nov 1, 2018 · Henrico, Va
- E•••••• F•••••••• S•••••••• L•• formerSep 27, 2010 to Nov 1, 2018 · Fairfax, Va
- S••••••• I••••••••• S•••••••• I••• formerDec 11, 2007 to Sep 15, 2010 · Richmond, Va
- W•••• F•••• A••••••• wirehouseMay 11, 2006 to Dec 4, 2007 · Springfield, Mo
- W•••• F•••• A••••••• wirehouseJun 16, 2004 to May 11, 2006 · Richmond, Va
- E•••••••• A•••••••• L•• national BDFeb 7, 2000 to Jun 10, 2004 · Boca Raton, Fl
Moves
a registration end followed by a registration begin elsewhere
- E•••••• F•••••••• S•••••••• L•• to E•••••• F•••••••• E••••••left Nov 1, 2018, registered Nov 1, 2018 (0 days) · corporate re-registration, not a move
- S••••••• I••••••••• S•••••••• I••• to E•••••• F•••••••• S•••••••• L••left Sep 15, 2010, registered Sep 27, 2010 (12 days) · Other
- W•••• F•••• A••••••• to S••••••• I••••••••• S•••••••• I•••left Dec 4, 2007, registered Dec 11, 2007 (7 days) · Other
- W•••• F•••• A••••••• to W•••• F•••• A•••••••left May 11, 2006, registered May 11, 2006 (0 days) · channel change inside one enterprise, not a move
- E•••••••• A•••••••• L•• to W•••• F•••• A•••••••left Jun 10, 2004, registered Jun 16, 2004 (6 days) · Affiliated broker-dealer or bank to wirehouse
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
- Independent wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address