DFX Intelligence
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A••• G•••••• C•••••••
As of · the IAPD feed; also filed as A••• G•••••• C••••••••• C•••••••
- At current firm
- 2 y
- In the industry
- 23 y
- Prior registered firms
- 3
- Signals
- 1
since Jul 1, 2024
As of · the IAPD feed; also filed as A••• G•••••• C••••••••• C•••••••
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Jul 1, 2024 · Fort Mill, Sc
- E•••••••• A•••••••• L•• BD affiliatedOct 29, 2018 to Apr 24, 2024 · Charlotte, Nc
- A••••• A•• P••••••• S••••••• BD affiliatedApr 8, 2008 to Feb 14, 2018 · Charlotte, Nc
- W•••• F•••• A••••••• wirehouseMar 22, 2005 to Jan 18, 2007 · Summit, Nj
Moves
a registration end followed by a registration begin elsewhere
- E•••••••• A•••••••• L•• to L•• F•••••••• L••left Apr 24, 2024, registered Jul 1, 2024 (68 days) · Affiliated broker-dealer or bank to another
- A••••• A•• P••••••• S••••••• to E•••••••• A•••••••• L••left Feb 14, 2018, registered Oct 29, 2018 (257 days) · Other
- W•••• F•••• A••••••• to A••••• A•• P••••••• S•••••••left Jan 18, 2007, registered Apr 8, 2008 (446 days) · Other
Signals
- ••• LockedApr 24, 2024 · 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
- 23derivedfrom 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