DFX Intelligence
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Registered advisor
S••••• B••••••• G•••••
Feed of 09/14/2026
Also filed as S••••• A•• B••••••••• B••••••• L••••
At current firm
10 y
since May 31, 2016
In the industry
21 y
since Sep 6, 2005 (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
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- N••••••••• I••••••••• A•••••••• L•• BD affiliated currentsince May 31, 2016 · Columbus, Oh
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 23, 2016 to May 16, 2016 · Atlanta, Ga
- W•••• F•••• A••••••• wirehouseJun 17, 2011 to Oct 14, 2011 · Suwanee, Ga
- L•• F•••••••• L•• BD affiliatedOct 22, 2008 to Mar 21, 2011 · Kennesaw, Ga
- A••••••••• F•••••••• S•••••••• L•• national BDSep 6, 2005 to Sep 17, 2008 · Alpharetta, Ga
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to N••••••••• I••••••••• A•••••••• L••left May 16, 2016, registered May 31, 2016 (15 days) · Other
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 14, 2011, registered Feb 23, 2016 (1593 days) · Wirehouse to wirehouse
- L•• F•••••••• L•• to W•••• F•••• A•••••••left Mar 21, 2011, registered Jun 17, 2011 (88 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left Sep 17, 2008, registered Oct 22, 2008 (35 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