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
R•••••• D••••• B•••••
Certified Financial Planner · Chartered Financial Consultant
Feed of 09/15/2026
Also filed as D••••• B••••••• D••••• B••••••••• D••••• B••••••••• D••••• B••••••••• D••••• B•••••
At current firm
3 y
since Jul 5, 2023
In the industry
20 y
since Sep 12, 2006 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- C••••••••• F•••••••• N•••••• national BD currentsince Jul 5, 2023 · Mt. Pleasant, Sc
- E•••••• A••••••• G••••• L•• BD affiliatedMar 13, 2018 to Jun 30, 2023 · Charleston, Sc
- C••••••••• F•••••••• N•••••• national BDOct 22, 2015 to Mar 2, 2018 · Mount Pleasant, Sc
- A••••••• F•••••••• A•••••••• L•• BD affiliatedJun 4, 2013 to Mar 21, 2014 · Summerville, Sc
- M•• F•••••••• S•••••••• I••• formerJul 30, 2010 to May 29, 2013 · Charleston, Sc
- J• H••••• A•••••••• L•• unclassifiedJul 14, 2009 to Jun 25, 2010 · Goose Creek, Sc
Moves
a registration end followed by a registration begin elsewhere
- E•••••• A••••••• G••••• L•• to C••••••••• F•••••••• N••••••left Jun 30, 2023, registered Jul 5, 2023 (5 days) · Affiliated broker-dealer or bank to another
- C••••••••• F•••••••• N•••••• to E•••••• A••••••• G••••• L••left Mar 2, 2018, registered Mar 13, 2018 (11 days) · Other
- A••••••• F•••••••• A•••••••• L•• to C••••••••• F•••••••• N••••••left Mar 21, 2014, registered Oct 22, 2015 (580 days) · Other
- M•• F•••••••• S•••••••• I••• to A••••••• F•••••••• A•••••••• L••left May 29, 2013, registered Jun 4, 2013 (6 days) · Other
- J• H••••• A•••••••• L•• to M•• F•••••••• S•••••••• I•••left Jun 25, 2010, registered Jul 30, 2010 (35 days) · Other
Signals
- ••• LockedJun 30, 2023 · Advisor changed firm · fact
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