DFX Intelligence
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Registered advisor
D••••• S••••• M••••
Feed of 09/14/2026
At current firm
1 y
since Aug 15, 2025
In the industry
26 y
since Feb 24, 2000 (earliest exam, job or registration)
Prior registered firms
6
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince Aug 15, 2025 · Raleigh, Nc
- U•• F•••••••• S••••••• I••• wirehouseSep 25, 2015 to Aug 26, 2025 · Raleigh, Nc
- M••••• S•••••• wirehouseJan 21, 2011 to Sep 29, 2015 · Raleigh, Nc
- W•••• F•••• A••••••• wirehouseNov 24, 2008 to Jan 25, 2011 · Cary, Nc
- S••••••• I••••••••• S•••••••• I••• formerSep 15, 2008 to Nov 24, 2008 · Apex, Nc
- W•••• F•••• A••••••• wirehouseAug 6, 2003 to Sep 9, 2008 · Cary, Nc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 5, 2000 to Dec 10, 2002 · Cary, Nc
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Aug 26, 2025, registered Aug 15, 2025 (-11 days) · Wirehouse to wirehouse · moved with a team
- M••••• S•••••• to U•• F•••••••• S••••••• I•••left Sep 29, 2015, registered Sep 25, 2015 (-4 days) · Wirehouse to wirehouse · moved with a team
- W•••• F•••• A••••••• to M••••• S••••••left Jan 25, 2011, registered Jan 21, 2011 (-4 days) · Wirehouse to wirehouse
- S••••••• I••••••••• S•••••••• I••• to W•••• F•••• A•••••••left Nov 24, 2008, registered Nov 24, 2008 (0 days) · Other
- W•••• F•••• A••••••• to S••••••• I••••••••• S•••••••• I•••left Sep 9, 2008, registered Sep 15, 2008 (6 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Dec 10, 2002, registered Aug 6, 2003 (239 days) · Wirehouse to wirehouse
Signals
- ••• LockedAug 26, 2025 · Advisor changed firm · fact
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address