DFX Intelligence
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Registered advisor
E•••••• A••• C•••••
Chartered Financial Consultant
Feed of 09/14/2026
Also filed as E•••••• A• C••••••••• C••••••••• L••
At current firm
1 y
since May 15, 2025
In the industry
18 y
since Dec 15, 2007 (earliest exam, job or registration)
Prior registered firms
3
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
- L•• F•••••••• L•• BD affiliated currentsince May 15, 2025 · Raleigh, Nc
- C••• F•••••••• S•••••••• L••• formerSep 14, 2015 to May 15, 2025 · Raleigh, Nc
- N••••••••• M••••• I••••••••• S••••••••• no RAUMOct 8, 2014 to Sep 2, 2015 · Raleigh, Nc
- P••• A••••• S••••••••• L•• BD affiliatedJan 7, 2008 to Aug 20, 2014 · Raleigh, Nc
Moves
a registration end followed by a registration begin elsewhere
- C••• F•••••••• S•••••••• L••• to L•• F•••••••• L••left May 15, 2025, registered May 15, 2025 (0 days) · corporate re-registration, not a move
- N••••••••• M••••• I••••••••• S••••••••• to C••• F•••••••• S•••••••• L•••left Sep 2, 2015, registered Sep 14, 2015 (12 days) · Other
- P••• A••••• S••••••••• L•• to N••••••••• M••••• I••••••••• S•••••••••left Aug 20, 2014, registered Oct 8, 2014 (49 days) · Other
Signals
No dated event on this person.
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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address