DFX Intelligence
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Registered advisor
S••••• S• C••
Feed of 09/15/2026
Also filed as P•••• S••••• S••••••••• C••
At current firm
3 y
since Sep 8, 2023
In the industry
24 y
since Jan 1, 2002 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- U•• F•••••••• S••••••• I••• wirehouse currentsince Sep 8, 2023 · Columbia, Sc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 26, 2022 to Sep 9, 2023 · Columbia, Sc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 2, 2015 to Mar 30, 2020 · Columbia, Sc
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Sep 9, 2023, registered Sep 8, 2023 (-1 days) · Wirehouse to wirehouse · moved with a team
Signals
- ••• LockedSep 9, 2023 · 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
- Wirehousederived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address