DFX Intelligence
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Registered advisor
R••• C••••••••
Feed of 09/14/2026
Also filed as R••• A••••• C••••••••
At current firm
0 y
since Dec 4, 2025
In the industry
25 y
since Jun 26, 2001 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Dec 4, 2025 · Charlotte, Nc
- W•••• F•••• A••••••• wirehouseOct 26, 2018 to Dec 19, 2025 · Charlotte, Nc
- M••••• S•••••• wirehouseJun 1, 2009 to Oct 29, 2018 · Charlotte, Nc
- C•••••••• G••••• M•••••• I••• BD affiliatedOct 29, 2008 to Jun 1, 2009 · Charlotte, Nc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 8, 2001 to Oct 29, 2008 · Charlotte, Nc
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Dec 19, 2025, registered Dec 4, 2025 (-15 days) · Wirehouse to wirehouse · moved with a team
- M••••• S•••••• to W•••• F•••• A•••••••left Oct 29, 2018, registered Oct 26, 2018 (-3 days) · Wirehouse to wirehouse · moved with a team
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• G••••• M•••••• I•••left Oct 29, 2008, registered Oct 29, 2008 (0 days) · Other
Signals
- ••• LockedDec 19, 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address