DFX Intelligence
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Registered advisor
T••••• R• R••••••••
Feed of 09/14/2026
Also filed as T••••• R• R••••••••• R••••••••• R• R••••••••• R••••• R••••••••
At current firm
1 y
since Mar 17, 2025
In the industry
18 y
since Apr 1, 2008 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- R•••••• J•••• • A••••••••• I••• national BD currentsince Mar 17, 2025 · Alpharetta, Ga
- E•••••••• A•••••••• L•• national BDAug 1, 2023 to Mar 1, 2024 · Atlanta, Ga
- J••• M••••• S••••••••• L•• wirehouseNov 15, 2021 to Aug 1, 2023 · Atlanta, Ga
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedMar 9, 2021 to Aug 23, 2021 · Woodstock, Ga
- R•••••• J•••• • A••••••••• I••• national BDMay 29, 2018 to Mar 8, 2021 · Atlanta, Ga
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 18, 2017 to May 21, 2018 · Atlanta, Ga
All 6 prior registrationsShow fewer
- W•••• F•••• A••••••• wirehouseFeb 5, 2014 to Jul 27, 2017 · Boston, Ma
Moves
a registration end followed by a registration begin elsewhere
- E•••••••• A•••••••• L•• to R•••••• J•••• • A••••••••• I•••left Mar 1, 2024, registered Mar 17, 2025 (381 days) · Affiliated broker-dealer or bank to another
- J••• M••••• S••••••••• L•• to E•••••••• A•••••••• L••left Aug 1, 2023, registered Aug 1, 2023 (0 days) · Wirehouse to affiliated broker-dealer or bank
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to J••• M••••• S••••••••• L••left Aug 23, 2021, registered Nov 15, 2021 (84 days) · Affiliated broker-dealer or bank to wirehouse
- R•••••• J•••• • A••••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Mar 8, 2021, registered Mar 9, 2021 (1 days) · Affiliated broker-dealer or bank to another · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•••••• J•••• • A••••••••• I•••left May 21, 2018, registered May 29, 2018 (8 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
All 6 movesShow fewer
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 27, 2017, registered Oct 18, 2017 (83 days) · Wirehouse to wirehouse
Signals
- ••• LockedMar 1, 2024 · Advisor changed firm · fact
- ••• LockedAug 1, 2023 · Advisor changed firm · fact
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
- National broker-dealer RIAderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address