DFX Intelligence
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Registered advisor
C•••••• B•••• S••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as C• B•••• S••••••••• B• S••••
At current firm
1 y
since Mar 31, 2025
In the industry
17 y
since Oct 3, 2008 (earliest exam, job or registration)
Prior registered firms
4
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•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Vero Beach, Fl
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Mar 31, 2025 · Boston, Ma
- S•••••••• A••••••• L•• national BDAug 19, 2015 to Jul 13, 2018 · Westlake, Tx
- I••••• F•••••••• C••••••••• formerSep 24, 2012 to Feb 6, 2014 · Asheville, Nc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 8, 2008 to Sep 24, 2012 · Asheville, Nc
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- I••••• F•••••••• C••••••••• to S•••••••• A••••••• L••left Feb 6, 2014, registered Aug 19, 2015 (559 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to I••••• F•••••••• C•••••••••left Sep 24, 2012, registered Sep 24, 2012 (0 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address