DFX Intelligence
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Registered advisor
C•••••••• C••••• B••••
Feed of 09/14/2026
At current firm
11 y
since Jun 24, 2015
In the industry
26 y
since May 22, 2000 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince Jun 24, 2015 · St. Louis, Mo
- C•••••••• G••••• M•••••• I••• BD affiliatedSep 10, 2004 to Jan 24, 2008 · New York, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 23, 2000 to Sep 16, 2002 · Jacksonville, Fl
Moves
a registration end followed by a registration begin elsewhere
- C•••••••• G••••• M•••••• I••• to W•••• F•••• A•••••••left Jan 24, 2008, registered Jun 24, 2015 (2708 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• G••••• M•••••• I•••left Sep 16, 2002, registered Sep 10, 2004 (725 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
- Wirehousederived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address