DFX Intelligence
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Registered advisor
W•••••• R••• B•••••
Feed of 09/14/2026
Also filed as W•••••• R••• B••••••••• D• R••••••••• B•••••
At current firm
3 y
since Jul 6, 2023
In the industry
12 y
since Sep 1, 2014 (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
0
dated events on this person
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince Jul 6, 2023 · Clemson, Sc
- W•••• F•••• A••••••• wirehouseSep 29, 2020 to Jul 6, 2023 · Seneca, Sc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 6, 2018 to Sep 30, 2020 · Greenville, Sc
- R•••••• J•••• • A••••••••• I••• national BDApr 21, 2017 to May 23, 2018 · Greenville, Sc
- L•• F•••••••• L•• BD affiliatedDec 7, 2016 to Apr 27, 2017 · Greenville, Sc
- W•••• F•••• A••••••• wirehouseApr 5, 2016 to Nov 23, 2016 · Greenville, Sc
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to W•••• F•••• A•••••••left Jul 6, 2023, registered Jul 6, 2023 (0 days) · channel change inside one enterprise, not a move · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Sep 30, 2020, registered Sep 29, 2020 (-1 days) · Wirehouse to wirehouse · moved with a team
- R•••••• J•••• • A••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 23, 2018, registered Jun 6, 2018 (14 days) · Affiliated broker-dealer or bank to wirehouse
- L•• F•••••••• L•• to R•••••• J•••• • A••••••••• I•••left Apr 27, 2017, registered Apr 21, 2017 (-6 days) · Other
- W•••• F•••• A••••••• to L•• F•••••••• L••left Nov 23, 2016, registered Dec 7, 2016 (14 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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address