DFX Intelligence
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Registered advisor
N••• D•••• E•••••
Feed of 09/14/2026
At current firm
3 y
since Nov 1, 2022
In the industry
17 y
since Oct 22, 2008 (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
1
dated events on this person
Registration history
IAPD current and previous registrations
- E•••••••• A•••••••• L•• national BD currentsince Nov 1, 2022 · Vestavia, Al
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 7, 2011 to Nov 2, 2022 · Birmingham, Al
- M••••• S•••••• wirehouseJun 1, 2009 to Oct 4, 2011 · Birmingham, Al
- C•••••••• G••••• M•••••• I••• BD affiliatedOct 27, 2008 to Jun 1, 2009 · Birmingham, Al
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E•••••••• A•••••••• L••left Nov 2, 2022, registered Nov 1, 2022 (-1 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 4, 2011, registered Jul 7, 2011 (-89 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedNov 2, 2022 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
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