DFX Intelligence
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Registered advisor
P•••• R••••• T••••••
Feed of 09/14/2026
At current firm
3 y
since May 9, 2023
In the industry
22 y
since Sep 3, 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
S66, S63
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••••• I••••••••• A••••••• L•• BD affiliated currentsince May 9, 2023 · Nashville, Tn
- C••••• I••••••••• A••••••• L•• BD affiliatedSep 14, 2017 to Jan 25, 2023 · Nashville, Tn
- W•••• F•••• A••••••• wirehouseApr 15, 2013 to Oct 27, 2016 · Minneapolis, Mn
- E•••••• C•••••• M••••••••• L•• formerMar 27, 2013 to Apr 10, 2013 · Arlington, Va
- C•••••••• G••••• M•••••• I••• BD affiliatedJul 13, 2011 to Sep 10, 2012 · Los Angeles, Ca
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to C••••• I••••••••• A••••••• L••left Oct 27, 2016, registered Sep 14, 2017 (322 days) · Other
- E•••••• C•••••• M••••••••• L•• to W•••• F•••• A•••••••left Apr 10, 2013, registered Apr 15, 2013 (5 days) · Other
- C•••••••• G••••• M•••••• I••• to E•••••• C•••••• M••••••••• L••left Sep 10, 2012, registered Mar 27, 2013 (198 days) · Other
Signals
No dated event on this person.
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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address