DFX Intelligence
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Registered advisor
W•••••• C•••••••• C•••••
Feed of 09/15/2026
Also filed as W•••••• C•••••••• C••••••••• A• C•••••
At current firm
5 y
since Jan 22, 2021
In the industry
24 y
since Feb 2, 2002 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
2
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
- R••••••••• C•••••• M••••••••• BD affiliated currentsince Feb 21, 2024 · Atlanta, Ga
- R••••••••• C•••••• M••••••••• BD affiliated currentsince Jan 22, 2021 · Atlanta, Ga
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 31, 2008 to Jan 22, 2019 · Atlanta, Ga
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Nov 4, 2008 · Atlanta, Ga
- M••••• S•••••• D• I••• unclassifiedSep 19, 2003 to Apr 2, 2007 · Atlanta, Ga
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R••••••••• C•••••• M•••••••••left Jan 22, 2019, registered Jan 22, 2021 (731 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- M••••• S•••••• • C•• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 4, 2008, registered Oct 31, 2008 (-4 days) · Other
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
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