DFX Intelligence
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Registered advisor
R••• S•••••••• C•••••
Feed of 09/14/2026
Also filed as R••• S• C••••••••• S•••••••• C•••••
At current firm
4 y
since Dec 7, 2021
In the industry
16 y
since Dec 7, 2009 (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
0
dated events on this person
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince Dec 7, 2021 · Wake Forest, Nc
- W•••• F•••• A••••••• wirehouseNov 14, 2011 to Jul 31, 2018 · Raleigh, Nc
- N••••••••• M••••• I••••••••• S••••••••• no RAUMJul 11, 2011 to Aug 3, 2011 · Raleigh, Nc
- M••••• S•••••• wirehouseDec 7, 2009 to Apr 11, 2011 · Raleigh, Nc
Moves
a registration end followed by a registration begin elsewhere
- N••••••••• M••••• I••••••••• S••••••••• to W•••• F•••• A•••••••left Aug 3, 2011, registered Nov 14, 2011 (103 days) · Other
- M••••• S•••••• to N••••••••• M••••• I••••••••• S•••••••••left Apr 11, 2011, registered Jul 11, 2011 (91 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address