DFX Intelligence
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Registered advisor
C••••••••• S•••• H••••
Feed of 09/14/2026
At current firm
6 y
since Nov 25, 2019
In the industry
24 y
since Aug 7, 2002 (earliest exam, job or registration)
Prior registered firms
2
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
- A••••• A•• P••••••• S••••••• BD affiliated currentsince Nov 25, 2019 · Durham, Nc
- A••••• A•• P••••••• S••••••• BD affiliatedJun 29, 2006 to Jul 25, 2019 · Charlotte, Nc
- A••••••••• F•••••••• S•••••••• L•• national BDSep 4, 2002 to Jun 7, 2006 · Columbia, Md
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• F•••••••• S•••••••• L•• to A••••• A•• P••••••• S•••••••left Jun 7, 2006, registered Jun 29, 2006 (22 days) · Other
Signals
No dated event on this person.
Transition signals
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