DFX Intelligence
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Registered advisor
T•••••• E• T••••••
Feed of 09/15/2026
At current firm
1 y
since Jun 30, 2025
In the industry
26 y
since Sep 15, 2000 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, 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
- L•• F•••••••• L•• BD affiliated currentsince Jun 30, 2025 · Ocean Springs, Ms
- O•••• W•••••• I••• BD affiliatedJun 14, 2024 to Jul 2, 2025 · Ocean Springs, Ms
- S••••••••• A•••••• A•••••••• I••• formerNov 15, 2018 to Jun 14, 2024 · Ocean Springs, Ms
- V••• F•••••••• A•••••••• I••• BD affiliatedAug 20, 2014 to Nov 16, 2018 · Windsor, Ct
- L•• F•••••••• L•• BD affiliatedApr 6, 2010 to Aug 27, 2014 · Ocean Springs, Ms
- E••••• J•••• national BDAug 16, 2007 to Apr 7, 2010 · Ocean Springs, Ms
Moves
a registration end followed by a registration begin elsewhere
- O•••• W•••••• I••• to L•• F•••••••• L••left Jul 2, 2025, registered Jun 30, 2025 (-2 days) · Affiliated broker-dealer or bank to another · moved with a team
- S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
- V••• F•••••••• A•••••••• I••• to S••••••••• A•••••• A•••••••• I•••left Nov 16, 2018, registered Nov 15, 2018 (-1 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to V••• F•••••••• A•••••••• I•••left Aug 27, 2014, registered Aug 20, 2014 (-7 days) · Other
- E••••• J•••• to L•• F•••••••• L••left Apr 7, 2010, registered Apr 6, 2010 (-1 days) · Other
Signals
- ••• LockedJul 2, 2025 · Advisor changed firm · fact
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