DFX Intelligence
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S••••• F••••••• H••••
As of · the IAPD feed; also filed as S••••• F••••••• H••••••••• H••••
- In the industry
- 24 y
- Prior registered firms
- 2
- Signals
- 3
As of · the IAPD feed; also filed as S••••• F••••••• H••••••••• H••••
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Registration history
IAPD current and previous registrations
- A••••• A•• P••••••• S••••••• BD affiliated currentsince Sep 24, 2026 · Charlotte, Nc
- L•• F•••••••• L•• BD affiliatedOct 4, 2017 to Sep 18, 2026 · Fort Mill, Sc
- A••••• A•• P••••••• S••••••• BD affiliatedOct 16, 2007 to Aug 29, 2017 · Charlotte, Nc
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to A••••• A•• P••••••• S•••••••left Sep 18, 2026, registered Sep 24, 2026 (6 days) · Affiliated broker-dealer or bank to another
- A••••• A•• P••••••• S••••••• to L•• F•••••••• L••left Aug 29, 2017, registered Oct 4, 2017 (36 days) · Other
Signals
- ••• LockedSep 24, 2026 · Advisor registered · fact
- ••• LockedSep 18, 2026 · Advisor registration ended · derived
- ••• LockedSep 18, 2026 · Advisor changed firm · fact
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.
No combined mobility score is published yet. The signals above are on record, each with its own history and base rate.
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, the raw outside business text and any address in it, personal outside activities, branch street addressoutside businesses appear above as structured facts, reviewed, with a short quote