DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
D••••• A•••••
Feed of 09/14/2026
Also filed as D•• A••••••••• D•••• A•••••
At current firm
9 y
since Sep 26, 2016
In the industry
21 y
since Sep 17, 2005 (earliest exam, job or registration)
Prior registered firms
2
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 Sep 26, 2016 · Fort Mill, Sc
- U•• F•••••••• S••••••• I••• wirehouseMar 11, 2014 to Aug 15, 2014 · Charlotte, Nc
- W•••• F•••• A••••••• wirehouseJun 14, 2007 to Feb 24, 2014 · Charlotte, Nc
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to L•• F•••••••• L••left Aug 15, 2014, registered Sep 26, 2016 (773 days) · Other
- W•••• F•••• A••••••• to U•• F•••••••• S••••••• I•••left Feb 24, 2014, registered Mar 11, 2014 (15 days) · Wirehouse to wirehouse
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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address