DFX Intelligence
RIA Intelligence
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Registered advisor
S•••• D•••• M••••••
Feed of 09/14/2026
At current firm
6 y
since Oct 10, 2019
In the industry
23 y
since Apr 1, 2003 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
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
- S•••••• S••••••••• I••• BD affiliated currentsince Oct 10, 2019 · Atlanta, Ga
- S•••••• S••••••••• I••• BD affiliatedNov 30, 2010 to Oct 31, 2017 · Atlanta, Ga
- C••••••• F•••••••• G•••• L•• unclassifiedSep 23, 2003 to Dec 31, 2010 · Atlanta, Ga
Moves
a registration end followed by a registration begin elsewhere
- C••••••• F•••••••• G•••• L•• to S•••••• S••••••••• I•••left Dec 31, 2010, registered Nov 30, 2010 (-31 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