DFX Intelligence
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Registered advisor
N••••••• P• P•••••••
Feed of 09/14/2026
Also filed as N••••••• P••••••••• P••• P••••••••• P••• P•••••••
At current firm
3 y
since Apr 14, 2023
In the industry
21 y
since Jun 17, 2005 (earliest exam, job or registration)
Prior registered firms
1
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
- L•• F•••••••• L•• BD affiliated currentsince Apr 14, 2023 · Fort Mill, Sc
- E•••••• C•••••• M••••••••• L•• formerJun 17, 2005 to Dec 31, 2005 · Charlotte, Nc
Moves
a registration end followed by a registration begin elsewhere
- E•••••• C•••••• M••••••••• L•• to L•• F•••••••• L••left Dec 31, 2005, registered Apr 14, 2023 (6313 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address