DFX Intelligence
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Feed of 09/15/2026
Also filed as S•••••••• C•••• L••••••••• C•••• T••••
At current firm
0 y
since Nov 7, 2025
In the industry
25 y
since May 16, 2001 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
3
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
- M••••• S•••••• wirehouse currentsince Nov 7, 2025 · Atlanta, Ga
- U•• F•••••••• S••••••• I••• wirehouseApr 28, 2021 to Nov 19, 2025 · Atlanta, Ga
- W•••• F•••• A••••••• wirehouseOct 1, 2019 to Apr 15, 2021 · Atlanta, Ga
- U•• F•••••••• S••••••• I••• wirehouseSep 24, 2008 to Oct 9, 2019 · Atlanta, Ga
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to M••••• S••••••left Nov 19, 2025, registered Nov 7, 2025 (-12 days) · Wirehouse to wirehouse
- W•••• F•••• A••••••• to U•• F•••••••• S••••••• I•••left Apr 15, 2021, registered Apr 28, 2021 (13 days) · Wirehouse to wirehouse
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Oct 9, 2019, registered Oct 1, 2019 (-8 days) · Wirehouse to wirehouse · moved with a team
Signals
- ••• LockedNov 19, 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
- Wirehousederived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address