DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
B•••• S•••• S••••••
Feed of 09/14/2026
At current firm
11 y
since Dec 18, 2014
In the industry
25 y
since Dec 18, 2000 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
4
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Dec 18, 2014 · Greenville, Sc
- O•••• W•••••• I••• BD affiliatedJul 27, 2011 to Dec 18, 2014 · Greenville, Sc
- S••••••••• A•••••• A•••••••• I••• formerOct 28, 2010 to Aug 2, 2011 · Greenville, Sc
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedSep 1, 2006 to Oct 8, 2010 · Anderson, Sc
Moves
a registration end followed by a registration begin elsewhere
- O•••• W•••••• I••• to L•• F•••••••• L••left Dec 18, 2014, registered Dec 18, 2014 (0 days) · Other
- S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••left Aug 2, 2011, registered Jul 27, 2011 (-6 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to S••••••••• A•••••• A•••••••• I•••left Oct 8, 2010, registered Oct 28, 2010 (20 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address