DFX Intelligence
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Feed of 09/14/2026
Also filed as R••••• S••••••••• D• S••••••••• D••• S•••••••
At current firm
3 y
since Jan 30, 2023
In the industry
18 y
since Feb 1, 2008 (earliest exam, job or registration)
Prior registered firms
2
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- C••••••• institutional currentsince Jan 30, 2023 · Raleigh, Nc
- W•••• F•••• A••••••• wirehouseNov 28, 2018 to May 25, 2022 · Durham, Nc
- S•••••••• A••••••• L•• national BDJan 4, 2017 to Jun 2, 2018 · Durham, Nc
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to C•••••••left May 25, 2022, registered Jan 30, 2023 (250 days) · Other
- S•••••••• A••••••• L•• to W•••• F•••• A•••••••left Jun 2, 2018, registered Nov 28, 2018 (179 days) · Affiliated broker-dealer or bank to wirehouse
Signals
- ••• LockedMay 25, 2022 · Advisor changed firm · fact
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Institutional managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address