DFX Intelligence
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Registered advisor
M•••••• W•••••• M••••••
Feed of 09/15/2026
Also filed as M•••••• W• M••••••••• W•••••• M••••••••• W• M••••••••• M••••••
At current firm
1 y
since Sep 5, 2025
In the industry
14 y
since Nov 23, 2011 (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
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••••• I••••••••• A••••••• L•• BD affiliated currentsince Sep 5, 2025 · Smyrna, Ga
- A•••••• A••••••• S••••••• formerMar 11, 2022 to Sep 5, 2025 · Atlanta, Ga
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 16, 2018 to Mar 7, 2022 · Atlanta, Ga
- W•••• F•••• A••••••• wirehouseMar 25, 2014 to Nov 26, 2018 · Atlanta, Ga
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 28, 2011 to Mar 21, 2014 · Houston, Tx
Moves
a registration end followed by a registration begin elsewhere
- A•••••• A••••••• S••••••• to C••••• I••••••••• A••••••• L••left Sep 5, 2025, registered Sep 5, 2025 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A•••••• A••••••• S•••••••left Mar 7, 2022, registered Mar 11, 2022 (4 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 26, 2018, registered Nov 16, 2018 (-10 days) · Wirehouse to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Mar 21, 2014, registered Mar 25, 2014 (4 days) · Wirehouse to wirehouse
Signals
- ••• LockedMar 7, 2022 · Advisor changed firm · fact
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address