DFX Intelligence
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Registered advisor
T•••••• M•••••• C•••
Feed of 09/14/2026
Also filed as T•••••• C••••••••• M•••••• C••••••• C•••
At current firm
5 y
since Sep 3, 2021
In the industry
20 y
since Mar 8, 2006 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
2
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
- V••••••• A•••••••• I••• BD affiliated currentsince Sep 3, 2021 · Charlotte, Nc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 4, 2020 to Nov 24, 2020 · Charlotte, Nc
- T• A••••••••• I••• formerFeb 27, 2018 to Sep 11, 2019 · Charlotte, Nc
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 26, 2018 to Sep 11, 2019 · Omaha, Ne
- S•••••••• I••••••••• M••••••••• formerJan 27, 2017 to Feb 26, 2018 · Saint Louis, Mo
- L•• F•••••••• L•• BD affiliatedOct 13, 2006 to Mar 24, 2009 · Charlotte, Nc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 8, 2006 to Aug 26, 2006 · Jacksonville, Fl
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to V••••••• A•••••••• I•••left Nov 24, 2020, registered Sep 3, 2021 (283 days) · Wirehouse to affiliated broker-dealer or bank
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Sep 11, 2019, registered Feb 27, 2018 (-561 days) · corporate re-registration, not a move
- T• A••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 11, 2019, registered Mar 4, 2020 (175 days) · Other
- S•••••••• I••••••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 26, 2018, registered Feb 26, 2018 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to S•••••••• I••••••••• M•••••••••left Mar 24, 2009, registered Jan 27, 2017 (2866 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••left Aug 26, 2006, registered Oct 13, 2006 (48 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address