DFX Intelligence
RIA Intelligence
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Registered advisor
S•••••• B•••• C•••••
Feed of 09/14/2026
At current firm
5 y
since May 7, 2021
In the industry
22 y
since Aug 12, 2004 (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
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince May 7, 2021 · Lynchburg, Va
- O•••• F•• I••• formerFeb 4, 2014 to May 10, 2021 · Virginia Beach, Va
- C•••••••• F•••••••• G•••• A••••••• formerJul 2, 2013 to Dec 31, 2013 · Forest, Va
Moves
a registration end followed by a registration begin elsewhere
- O•••• F•• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left May 10, 2021, registered May 7, 2021 (-3 days) · Affiliated broker-dealer or bank to another · moved with a team
- C•••••••• F•••••••• G•••• A••••••• to O•••• F•• I•••left Dec 31, 2013, registered Feb 4, 2014 (35 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address