DFX Intelligence
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Registered advisor
A••••• B•••••• M••••••
Certified Financial Planner · Chartered Financial Consultant
Feed of 09/14/2026
Also filed as A••••• M••••••
At current firm
6 y
since Jun 5, 2020
In the industry
20 y
since Aug 10, 2006 (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, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• national BD currentsince Jun 5, 2020 · Sandy Springs, Ga
- U••• I••••••••• S••••••• C•••••• no RAUMJan 8, 2018 to May 24, 2020 · San Antonio, Tx
- U••• F•••••••• P••••••• S••••••• formerJun 21, 2010 to Jan 8, 2018 · San Antonio, Tx
- A••••••••• F•••••••• S•••••••• L•• national BDJul 25, 2008 to Apr 14, 2010 · Atlanta, Ga
- E••••• J•••• national BDMay 21, 2007 to May 29, 2008 · St Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- U••• I••••••••• S••••••• C•••••• to C•••••• S••••• • C••• I•••left May 24, 2020, registered Jun 5, 2020 (12 days) · corporate re-registration, not a move
- U••• F•••••••• P••••••• S••••••• to U••• I••••••••• S••••••• C••••••left Jan 8, 2018, registered Jan 8, 2018 (0 days) · corporate re-registration, not a move
- A••••••••• F•••••••• S•••••••• L•• to U••• F•••••••• P••••••• S•••••••left Apr 14, 2010, registered Jun 21, 2010 (68 days) · Affiliated broker-dealer or bank to a newly registered adviser
- E••••• J•••• to A••••••••• F•••••••• S•••••••• L••left May 29, 2008, registered Jul 25, 2008 (57 days) · Affiliated broker-dealer or bank to another
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