DFX Intelligence
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Registered advisor
C••••••••• A•••• R•••••
Feed of 09/14/2026
At current firm
1 y
since Aug 1, 2025
In the industry
23 y
since Sep 11, 2003 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Aug 1, 2025 · New Bern, Nc
- C••••••••• F•••••••• N•••••• national BDJan 2, 2008 to Aug 1, 2025 · New Bern, Nc
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedMar 17, 2005 to Jan 7, 2008 · New Bern, Nc
- W•••••• • R••• formerDec 2, 2003 to Mar 3, 2005 · Raleigh, Nc
Moves
a registration end followed by a registration begin elsewhere
- C••••••••• F•••••••• N•••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Aug 1, 2025, registered Aug 1, 2025 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
- R•••••• J•••• F•••••••• S•••••••• I••• to C••••••••• F•••••••• N••••••left Jan 7, 2008, registered Jan 2, 2008 (-5 days) · Other
- W•••••• • R••• to R•••••• J•••• F•••••••• S•••••••• I•••left Mar 3, 2005, registered Mar 17, 2005 (14 days) · Other
Signals
- C••••••••• A•••• R••••• left C••••••••• F•••••••• N•••••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2025-08-01)Aug 1, 2025 · Advisor changed firm · fact
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