DFX Intelligence
RIA Intelligence
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Registered advisor
D•••• G•••• B••••
Feed of 09/14/2026
At current firm
6 y
since Jul 16, 2020
In the industry
20 y
since Dec 10, 2005 (earliest exam, job or registration)
Prior registered firms
3
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
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Jul 16, 2020 · Chapel Hill, Nc
- M••••• S•••••• wirehouseJun 1, 2009 to Jul 23, 2020 · Chapel Hill, Nc
- M••••• S•••••• • C•• L•• unclassifiedMay 5, 2008 to Jun 1, 2009 · Raleigh, Nc
- W•••• F•••• A••••••• wirehouseDec 12, 2005 to May 6, 2008 · Chapel Hill, Nc
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to S•••••• N••••••• • C••••••• I•••••••••left Jul 23, 2020, registered Jul 16, 2020 (-7 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to M••••• S•••••• • C•• L••left May 6, 2008, registered May 5, 2008 (-1 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
- National broker-dealer RIAderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address