DFX Intelligence
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Registered advisor
M•••••• R•••• R••••
Certified Financial Planner
Feed of 09/15/2026
Also filed as M•••••• R••••
At current firm
2 y
since Aug 23, 2024
In the industry
23 y
since Oct 15, 2002 (earliest exam, job or registration)
Prior registered firms
7
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
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
- O•••• W•••••• I••• BD affiliated currentsince Aug 23, 2024 · Garner, Nc
- T•••• A•••••••• L•• formerApr 4, 2011 to Aug 23, 2024 · Raleigh, Nc
- C••••• A•••••• N••••••• L•• formerJan 5, 2009 to Apr 5, 2011 · Raleigh, Nc
- S••••••• I••••••••• S•••••••• I••• formerJun 29, 2006 to Dec 8, 2008 · Cary, Nc
- B••• I••••••••• S•••••••• I••• formerAug 2, 2004 to May 4, 2006 · Charlotte, Nc
- B••• A•••• M••••••••• I••• unclassifiedJul 28, 2004 to Aug 4, 2004 · Raleigh, Nc
- B••• I••••••••• S•••••••• I••• formerApr 13, 2004 to Jul 28, 2004 · Charlotte, Nc
- B••• A•••• M••••••••• I••• unclassifiedJan 22, 2003 to Apr 13, 2004 · Raleigh, Nc
Moves
a registration end followed by a registration begin elsewhere
- T•••• A•••••••• L•• to O•••• W•••••• I•••left Aug 23, 2024, registered Aug 23, 2024 (0 days) · corporate re-registration, not a move
- C••••• A•••••• N••••••• L•• to T•••• A•••••••• L••left Apr 5, 2011, registered Apr 4, 2011 (-1 days) · Other
- S••••••• I••••••••• S•••••••• I••• to C••••• A•••••• N••••••• L••left Dec 8, 2008, registered Jan 5, 2009 (28 days) · Other
- B••• I••••••••• S•••••••• I••• to S••••••• I••••••••• S•••••••• I•••left May 4, 2006, registered Jun 29, 2006 (56 days) · Other
- B••• A•••• M••••••••• I••• to B••• I••••••••• S•••••••• I•••left Aug 4, 2004, registered Aug 2, 2004 (-2 days) · Other
- B••• I••••••••• S•••••••• I••• to B••• A•••• M••••••••• I•••left Jul 28, 2004, registered Jul 28, 2004 (0 days) · Other
- B••• A•••• M••••••••• I••• to B••• I••••••••• S•••••••• I•••left Apr 13, 2004, registered Apr 13, 2004 (0 days) · Other
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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address