DFX Intelligence
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Feed of 09/14/2026
Also filed as D•••• L••••••••• M•••••• L••••••••• M•••••• L•••
At current firm
11 y
since Apr 15, 2015
In the industry
23 y
since Aug 11, 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
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
- C••••••• institutional currentsince Apr 15, 2015 · Raleigh, Nc
- P•••••••• S••••••••• I••• BD affiliatedJul 16, 2007 to Apr 24, 2013 · Raleigh, Nc
- H••••••••• G••••• E••••• • R••••••••• S••••••••• unclassifiedNov 16, 2006 to Jul 10, 2007 · Scottsdale, Az
- O•••• F•• I••• formerApr 23, 2004 to Oct 23, 2006 · Jacksonville, Fl
- A••••••••• F•••••••• S•••••••• L•• national BDAug 18, 2003 to Apr 19, 2004 · Jacksonville, Fl
Moves
a registration end followed by a registration begin elsewhere
- P•••••••• S••••••••• I••• to C•••••••left Apr 24, 2013, registered Apr 15, 2015 (721 days) · Other
- H••••••••• G••••• E••••• • R••••••••• S••••••••• to P•••••••• S••••••••• I•••left Jul 10, 2007, registered Jul 16, 2007 (6 days) · Other
- O•••• F•• I••• to H••••••••• G••••• E••••• • R••••••••• S•••••••••left Oct 23, 2006, registered Nov 16, 2006 (24 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to O•••• F•• I•••left Apr 19, 2004, registered Apr 23, 2004 (4 days) · Other
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Institutional managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address