DFX Intelligence
RIA Intelligence
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Registered advisor
R••••• D••• B•••••
Feed of 09/14/2026
At current firm
8 y
since Nov 29, 2017
In the industry
25 y
since Dec 2, 2000 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
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
- L•• F•••••••• L•• BD affiliated currentsince Nov 29, 2017 · Hixson, Tn
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerJan 6, 2010 to Nov 29, 2017 · Chattanooga, Tn
- M••••• K••••• • C••••••• L•• formerAug 23, 2004 to Oct 30, 2009 · Chattanooga, Tn
- U•• F•••••••• S••••••• I••• wirehouseJan 15, 2004 to Sep 13, 2004 · Chattanooga, Tn
Moves
a registration end followed by a registration begin elsewhere
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to L•• F•••••••• L••left Nov 29, 2017, registered Nov 29, 2017 (0 days) · Other
- M••••• K••••• • C••••••• L•• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Oct 30, 2009, registered Jan 6, 2010 (68 days) · Other
- U•• F•••••••• S••••••• I••• to M••••• K••••• • C••••••• L••left Sep 13, 2004, registered Aug 23, 2004 (-21 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