DFX Intelligence

RIA Intelligence

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Registered advisor

B•••••• T••••• L••••••

C•••••••• I••••••••• R••••••• A•••••••• I•••BD affiliatedRaleigh, Ncdual registrantIAPD 4436689

Certified Financial Planner

Feed of 09/14/2026

Also filed as B•••••• T••••• L••••••

At current firm

4 y

since Jun 9, 2022

In the industry

25 y

since Sep 4, 2001 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated current
since Jun 9, 2022 · Raleigh, Nc
K••••• A••••••• S•••••••• L•• BD affiliated
Apr 19, 2016 to Jun 8, 2022 · Raleigh, Nc
N•• A•••••• S•••••••• L•• former
Jan 5, 2015 to Sep 22, 2016 · Austin, Tx
T• A••••••••• I••••••••• M••••••••• L•• former
Apr 16, 2008 to Jan 8, 2015 · Cary, Nc
T• A••••••••• I••• former
Apr 16, 2008 to Jan 8, 2015 · Cary, Nc
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Aug 17, 2004 to Mar 26, 2008 · Raleigh, Nc
A••••••••• F•••••••• S•••••••• L•• national BD
Dec 31, 2001 to Aug 17, 2004 · Raleigh, Nc

Moves

a registration end followed by a registration begin elsewhere

K••••• A••••••• S•••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Jun 8, 2022, registered Jun 9, 2022 (1 days) · Affiliated broker-dealer or bank to another
N•• A•••••• S•••••••• L•• to K••••• A••••••• S•••••••• L••
left Sep 22, 2016, registered Apr 19, 2016 (-156 days) · corporate re-registration, not a move
T• A••••••••• I••••••••• M••••••••• L•• to N•• A•••••• S•••••••• L••
left Jan 8, 2015, registered Jan 5, 2015 (-3 days) · Other
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Jan 8, 2015, registered Apr 16, 2008 (-2458 days) · channel change inside one enterprise, not a move
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T• A••••••••• I•••
left Mar 26, 2008, registered Apr 16, 2008 (21 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
A••••••••• F•••••••• S•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Aug 17, 2004, registered Aug 17, 2004 (0 days) · Affiliated broker-dealer or bank to wirehouse

Signals

B•••••• T••••• L•••••• left K••••• A••••••• S•••••••• L•• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2022-06-09)
Jun 8, 2022 · a•••••• firm change · 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: 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