DFX Intelligence
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Registered advisor
T••• A• M••••••
Feed of 09/18/2026
Also filed as A•••••• A••••• M••••••••• M••••••
At current firm
14 y
since Feb 28, 2012
In the industry
22 y
since Aug 13, 2004 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
32
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
- P••• A••••• S••••••••• L•• BD affiliated currentsince Feb 28, 2012 · Charlotte, Nc
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 17, 2010 to Jan 31, 2012 · Charlotte, Nc
- A••••••••• F•••••••• S•••••••• L•• national BDApr 7, 2009 to Feb 4, 2010 · Charlotte, Nc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 26, 2006 to Apr 24, 2009 · Charlotte, Nc
- M••••• S•••••• D• I••• unclassifiedAug 30, 2005 to Jun 7, 2006 · Charlotte, Nc
Moves
a registration end followed by a registration begin elsewhere
- M•• I•••••••• S•••••••• L•• to P••• A••••• S••••••••• L••left Jan 31, 2012, registered Feb 28, 2012 (28 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to M•• I•••••••• S•••••••• L••left Feb 4, 2010, registered Mar 17, 2010 (41 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••••• F•••••••• S•••••••• L••left Apr 24, 2009, registered Apr 7, 2009 (-17 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• D• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 7, 2006, registered Sep 26, 2006 (111 days) · Other
Signals
- ••• LockedSep 17, 2026 · New state registration · fact
Transition signals
Mobility scoring is not published yet.
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