DFX Intelligence
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Registered advisor
A•••• S•••••• C•••••••
Feed of 09/14/2026
At current firm
10 y
since Oct 30, 2015
In the industry
15 y
since Jun 3, 2011 (earliest exam, job or registration)
Prior registered firms
2
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 Oct 30, 2015 · Naples, Fl
- F•••• T•••• S••••••••• I••• BD affiliatedFeb 7, 2012 to Sep 10, 2015 · Marietta, Ga
- M••••• S•••••• wirehouseJun 6, 2011 to Jan 27, 2012 · Atlanta, Ga
Moves
a registration end followed by a registration begin elsewhere
- F•••• T•••• S••••••••• I••• to W•••• F•••• A•••••••left Sep 10, 2015, registered Oct 30, 2015 (50 days) · Other
- M••••• S•••••• to F•••• T•••• S••••••••• I•••left Jan 27, 2012, registered Feb 7, 2012 (11 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The 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.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address