DFX Intelligence
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Registered advisor
C••••••• M•••••
Certified Financial Planner · Chartered Financial Consultant
Feed of 09/14/2026
At current firm
3 y
since Oct 4, 2022
In the industry
14 y
since Jun 1, 2012 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
10
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
- P••• A••••• S••••••••• L•• BD affiliated currentsince Oct 4, 2022 · Reston, Va
- M•• I•••••••• S•••••••• L•• BD affiliatedSep 27, 2012 to Oct 5, 2022 · Mclean, Va
Moves
a registration end followed by a registration begin elsewhere
- M•• I•••••••• S•••••••• L•• to P••• A••••• S••••••••• L••left Oct 5, 2022, registered Oct 4, 2022 (-1 days) · Affiliated broker-dealer or bank to another
Signals
- ••• LockedOct 5, 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