DFX Intelligence
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Registered advisor
C•••• A•••• L•••••
Feed of 09/14/2026
At current firm
8 y
since Jun 18, 2018
In the industry
23 y
since Jun 27, 2003 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Jun 18, 2018 · Fort Mill, Sc
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to Jun 7, 2018 · Charlotte, Nc
- M•• F•••••••• S•••••••• I••• formerJun 7, 2007 to Mar 25, 2017 · Charlotte, Nc
- T• A••••••••• I••• formerDec 17, 2004 to Aug 4, 2005 · Jersey City, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 29, 2004 to Oct 20, 2004 · Bridgewater Township, Nj
Moves
a registration end followed by a registration begin elsewhere
- M•• I•••••••• S•••••••• L•• to L•• F•••••••• L••left Jun 7, 2018, registered Jun 18, 2018 (11 days) · Affiliated broker-dealer or bank to independent RIA
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- T• A••••••••• I••• to M•• F•••••••• S•••••••• I•••left Aug 4, 2005, registered Jun 7, 2007 (672 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T• A••••••••• I•••left Oct 20, 2004, registered Dec 17, 2004 (58 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address