DFX Intelligence
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Registered advisor
S••••• C•••••
Feed of 09/14/2026
Also filed as S••••• J•••• C•••••
At current firm
2 y
since Nov 3, 2023
In the industry
24 y
since Feb 15, 2002 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
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
- O•••• W•••••• I••• BD affiliated currentsince Nov 3, 2023 · Fayetteville, Nc
- F•• S••••••••• C••••••••• formerOct 25, 2006 to Nov 3, 2023 · Fayetteville, Nc
- W•••••• • R••• formerMay 1, 2002 to Sep 7, 2006 · Raleigh, Nc
Moves
a registration end followed by a registration begin elsewhere
- F•• S••••••••• C••••••••• to O•••• W•••••• I•••left Nov 3, 2023, registered Nov 3, 2023 (0 days) · corporate re-registration, not a move
- W•••••• • R••• to F•• S••••••••• C•••••••••left Sep 7, 2006, registered Oct 25, 2006 (48 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address