DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
B••• M••••• T•••••
As of · the IAPD feed; also filed as B••• R•••• M••••••••• M• T••••••••• M••••• T•••••
- At current firm
- 1 y
- In the industry
- 24 y
- Prior registered firms
- 1
- Signals
- 1
since Oct 15, 2024
As of · the IAPD feed; also filed as B••• R•••• M••••••••• M• T••••••••• M••••• T•••••
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Registration history
IAPD current and previous registrations
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Oct 15, 2024 · Lynchburg, Va
- W•••• F•••• A••••••• wirehouseFeb 21, 2007 to Aug 29, 2024 · Lynchburg, Va
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to T••••• A••••••• S•••••••• I•••left Aug 29, 2024, registered Oct 15, 2024 (47 days) · Wirehouse to affiliated broker-dealer or bank
Signals
- ••• LockedAug 29, 2024 · Advisor changed firm · fact
Transition signals
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, outside business text, branch street address