DFX Intelligence
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Registered advisor
C••••••••• P•••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as C••••••••• L• P••••••••• L•••• P•••••
At current firm
0 y
since Oct 9, 2025
In the industry
15 y
since Oct 1, 2010 (earliest exam, job or registration)
Prior registered firms
4
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
2
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••••• A••••••• L•• national BD currentsince Oct 9, 2025 · Greenville, Sc
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 21, 2023 to Mar 31, 2025 · Greensboro, Nc
- C•••••• S••••• • C••• I••• national BDSep 14, 2022 to May 17, 2023 · Simpsonville, Sc
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Sep 7, 2022 · Boston, Ma
- S•••••••• A••••••• L•• national BDOct 29, 2012 to Jul 13, 2018 · Glen Allen, Va
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Oct 9, 2025 (192 days) · corporate re-registration, not a move
- C•••••• S••••• • C••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left May 17, 2023, registered Jul 21, 2023 (65 days) · Affiliated broker-dealer or bank to another
- F••••••• P••••••• A•• W•••••••• A••••••• to C•••••• S••••• • C••• I•••left Sep 7, 2022, registered Sep 14, 2022 (7 days) · Affiliated broker-dealer or bank to another
- 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
Signals
- ••• LockedMay 17, 2023 · Advisor changed firm · fact
- ••• LockedSep 7, 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
- National broker-dealer RIAderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address