DFX Intelligence
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Registered advisor
A•••••• R•••••• T•••••••••
Feed of 09/14/2026
Also filed as A•••••• R•••••• T••••••••• T•••••••••
At current firm
1 y
since Jan 29, 2025
In the industry
21 y
since Oct 26, 2004 (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
1
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Jan 29, 2025 · Charlotte, Nc
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 7, 2019 to Apr 4, 2024 · Miami, Fl
- C••••• I••••••••• A••••••• L•• BD affiliatedAug 3, 2016 to May 8, 2019 · Hialeah, Fl
- W•••• F•••• A••••••• wirehouseApr 7, 2011 to Jul 12, 2016 · Miami, Fl
- C•••••••• G••••• M•••••• I••• BD affiliatedOct 29, 2010 to Dec 31, 2010 · Tampa, Fl
Moves
a registration end followed by a registration begin elsewhere
- C•••••••• G••••• M•••••• I••• to L•• F•••••••• L••left Apr 4, 2024, registered Jan 29, 2025 (300 days) · Affiliated broker-dealer or bank to another · moved with a team
- C••••• I••••••••• A••••••• L•• to C•••••••• G••••• M•••••• I•••left May 8, 2019, registered May 7, 2019 (-1 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to C••••• I••••••••• A••••••• L••left Jul 12, 2016, registered Aug 3, 2016 (22 days) · Other
- C•••••••• G••••• M•••••• I••• to W•••• F•••• A•••••••left Dec 31, 2010, registered Apr 7, 2011 (97 days) · Other
Signals
- ••• LockedApr 4, 2024 · 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address