DFX Intelligence
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Registered advisor
S••• G••• W•••••
C•••••••• I••••••••• R••••••• A•••••••• I•••BD affiliatedPewee Valley, Kydual registrantIAPD 4130465
Feed of 09/14/2026
Also filed as S•••••• G••• W•••••
At current firm
10 y
since Jan 4, 2016
In the industry
26 y
since Feb 29, 2000 (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
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
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Jan 4, 2016 · Pewee Valley, Ky
- C•••••••• F•••••••• G•••• A••••••• formerMay 24, 2010 to Dec 31, 2015 · Louisville, Ky
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedNov 1, 2006 to May 14, 2010 · Louisville, Ky
- A••••••••• A•••••• S•••••••• I••• unclassifiedJul 7, 2003 to Oct 18, 2006 · Louisville, Ky
- C•••••• L•• independent RIAMar 7, 2003 to Jul 9, 2003 · West Palm Beach, Fl
Moves
a registration end followed by a registration begin elsewhere
- C•••••••• F•••••••• G•••• A••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Dec 31, 2015, registered Jan 4, 2016 (4 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to C•••••••• F•••••••• G•••• A•••••••left May 14, 2010, registered May 24, 2010 (10 days) · Other
- A••••••••• A•••••• S•••••••• I••• to U•••• F•••••••• S••••••• G••••• I•••left Oct 18, 2006, registered Nov 1, 2006 (14 days) · Other
- C•••••• L•• to A••••••••• A•••••• S•••••••• I•••left Jul 9, 2003, registered Jul 7, 2003 (-2 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
- 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