DFX Intelligence
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Registered advisor
T•••• A•••• F•••••
Feed of 09/14/2026
Also filed as T•••• F••••••••• A• F•••••
At current firm
2 y
since Jan 31, 2024
In the industry
15 y
since Feb 21, 2011 (earliest exam, job or registration)
Prior registered firms
5
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
- O•••• W•••••• I••• BD affiliated currentsince Jan 31, 2024 · Tuscaloosa, Al
- L•• F•••••••• L•• BD affiliatedJan 28, 2019 to Feb 9, 2024 · Tuscaloosa, Al
- W•••• F•••• A••••••• wirehouseJun 16, 2017 to Jan 25, 2019 · Birmingham, Al
- P•• W••••• M••••••••• BD affiliatedFeb 7, 2014 to Jun 21, 2017 · Mountain Brook, Al
- W•••• F•••• A••••••• wirehouseJan 4, 2012 to Feb 19, 2014 · Birmingham, Al
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 23, 2011 to Oct 18, 2011 · Birmingham, Al
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to O•••• W•••••• I•••left Feb 9, 2024, registered Jan 31, 2024 (-9 days) · Affiliated broker-dealer or bank to another · moved with a team
- W•••• F•••• A••••••• to L•• F•••••••• L••left Jan 25, 2019, registered Jan 28, 2019 (3 days) · Wirehouse to independent RIA
- P•• W••••• M••••••••• to W•••• F•••• A•••••••left Jun 21, 2017, registered Jun 16, 2017 (-5 days) · Other
- W•••• F•••• A••••••• to P•• W••••• M•••••••••left Feb 19, 2014, registered Feb 7, 2014 (-12 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Oct 18, 2011, registered Jan 4, 2012 (78 days) · Wirehouse to wirehouse
Signals
- ••• LockedFeb 9, 2024 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address