DFX Intelligence
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Registered advisor
C•••••• P• L••••
Feed of 09/14/2026
Also filed as C•••• L••••••••• P• L••••••••• P•••••• L••••••••• L••••
At current firm
1 y
since Mar 31, 2025
In the industry
26 y
since May 9, 2000 (earliest exam, job or registration)
Prior registered firms
7
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Columbia, Sc
- F••••••• P••••••• A•• W•••••••• A••••••• formerJun 22, 2021 to Mar 31, 2025 · Fort Mill, Sc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 26, 2017 to Apr 27, 2021 · Charlotte, Nc
- P•• W••••• M••••••••• BD affiliatedApr 6, 2017 to May 15, 2017 · Charlotte, Nc
- U•• F•••••••• S••••••• I••• wirehouseOct 21, 2013 to Mar 24, 2017 · Charlotte, Nc
- A••••••• F•••••••• A•••••••• L•• BD affiliatedMar 5, 2013 to Aug 29, 2013 · Shelby, Nc
- P•• W••••• M••••••••• BD affiliatedOct 14, 2011 to Dec 20, 2011 · Columbus, Oh
- W•••• F•••• A••••••• wirehouseApr 27, 2006 to Sep 22, 2011 · Charlotte, Nc
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Apr 27, 2021, registered Jun 22, 2021 (56 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- P•• W••••• M••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 15, 2017, registered May 26, 2017 (11 days) · Other
- U•• F•••••••• S••••••• I••• to P•• W••••• M•••••••••left Mar 24, 2017, registered Apr 6, 2017 (13 days) · Other
- A••••••• F•••••••• A•••••••• L•• to U•• F•••••••• S••••••• I•••left Aug 29, 2013, registered Oct 21, 2013 (53 days) · Other
- P•• W••••• M••••••••• to A••••••• F•••••••• A•••••••• L••left Dec 20, 2011, registered Mar 5, 2013 (441 days) · Other
- W•••• F•••• A••••••• to P•• W••••• M•••••••••left Sep 22, 2011, registered Oct 14, 2011 (22 days) · Other
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