DFX Intelligence
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C••••••••• O• W•••
As of · the IAPD feed; also filed as C•••••••• W••••••••• W•••
- At current firm
- 1 y
- In the industry
- 20 y
- Prior registered firms
- 3
- Signals
- 1
since Nov 15, 2024
As of · the IAPD feed; also filed as C•••••••• W••••••••• W•••
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Registration history
IAPD current and previous registrations
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Nov 15, 2024 · Atlanta, Ga
- M••••• S•••••• wirehouseJun 1, 2009 to Sep 10, 2024 · Atlanta, Ga
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Atlanta, Ga
- M••••• S•••••• D• I••• unclassifiedAug 23, 2006 to Apr 2, 2007 · Atlanta, Ga
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to T••••• A••••••• S•••••••• I•••left Sep 10, 2024, registered Nov 15, 2024 (66 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedSep 10, 2024 · Advisor changed firm · fact
Transition signals
No combined mobility score is published yet. The signals above are on record, each with its own history and base rate.
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