DFX Intelligence
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Registered advisor
N••••••• A• C••••••
Feed of 09/15/2026
Also filed as N••••••• A•••••• C••••••
At current firm
5 y
since Dec 11, 2020
In the industry
23 y
since Jul 7, 2003 (earliest exam, job or registration)
Prior registered firms
1
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
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Dec 11, 2020 · Raleigh, Nc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 3, 2012 to Dec 15, 2020 · Raleigh, Nc
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••••• F•••••••• S•••••••• L••left Dec 15, 2020, registered Dec 11, 2020 (-4 days) · Wirehouse to affiliated broker-dealer or bank
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
- National broker-dealer RIAderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address