DFX Intelligence
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Registered advisor
E••• C•••••• E••••
Feed of 09/15/2026
At current firm
12 y
since Apr 14, 2014
In the industry
24 y
since Jun 14, 2002 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
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
- P•••••• A•••••• G••••• L•• BD affiliated currentsince Apr 14, 2014 · Morristown, Nj
- M••••• S•••••• wirehouseJun 1, 2009 to Apr 16, 2014 · Little Rock, Ar
- M••••• S•••••• • C•• L•• unclassifiedJan 12, 2009 to Jun 1, 2009 · Little Rock, Ar
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 8, 2005 to Jan 13, 2009 · Little Rock, Ar
- U•• F•••••••• S••••••• I••• wirehouseOct 22, 2002 to Aug 18, 2005 · Little Rock, Ar
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to P•••••• A•••••• G••••• L••left Apr 16, 2014, registered Apr 14, 2014 (-2 days) · Other
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S•••••• • C•• L••left Jan 13, 2009, registered Jan 12, 2009 (-1 days) · Other
- U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 18, 2005, registered Aug 8, 2005 (-10 days) · Wirehouse to wirehouse
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
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