DFX Intelligence
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Registered advisor
P••••• T••••• C••••
Feed of 09/14/2026
At current firm
3 y
since Jan 12, 2023
In the industry
14 y
since Oct 1, 2011 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
3
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••••••••• F•••••••• N•••••• national BD currentsince Jan 12, 2023 · Reston, Va
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedJan 6, 2017 to Jan 24, 2023 · Herndon, Va
- W•••• F•••• A••••••• wirehouseFeb 7, 2012 to Jan 10, 2017 · Alexandria, Va
Moves
a registration end followed by a registration begin elsewhere
- C•••••••• I••••••••• R••••••• A•••••••• I••• to C••••••••• F•••••••• N••••••left Jan 24, 2023, registered Jan 12, 2023 (-12 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Jan 10, 2017, registered Jan 6, 2017 (-4 days) · Other
Signals
- ••• LockedJan 24, 2023 · 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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address