DFX Intelligence
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A••• G••• L•••
As of · the IAPD feed; also filed as A••• G• L•••••••• G• L•••••••• L•••
- At current firm
- 5 y
- In the industry
- 13 y
- Prior registered firms
- 5
- Signals
- 0
since Dec 23, 2020
As of · the IAPD feed; also filed as A••• G• L•••••••• G• L•••••••• L•••
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• national BD currentsince Dec 23, 2020 · Columbus, Oh
- T• A••••••••• I••••••••• M••••••••• L•• formerAug 1, 2019 to Dec 31, 2020 · Greensboro, Nc
- T• A••••••••• I••• formerAug 1, 2019 to Dec 31, 2020 · Westlake, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 7, 2016 to Aug 9, 2017 · Chandler, Az
- T• A••••••••• I••••••••• M••••••••• L•• formerOct 27, 2014 to Oct 26, 2016 · Birmingham, Mi
- T• A••••••••• I••• formerOct 27, 2014 to Oct 26, 2016 · Birmingham, Mi
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••• to C•••••• S••••• • C••• I•••left Dec 31, 2020, registered Dec 23, 2020 (-8 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Dec 31, 2020, registered Dec 23, 2020 (-8 days) · channel change inside one enterprise, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T• A••••••••• I••••••••• M••••••••• L••left Aug 9, 2017, registered Aug 1, 2019 (722 days) · Wirehouse to independent RIA
- T• A••••••••• I••••••••• M••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 26, 2016, registered Nov 7, 2016 (12 days) · Other
- T• A••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 26, 2016, registered Nov 7, 2016 (12 days) · Other
Signals
No dated event on this person.
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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, the raw outside business text and any address in it, personal outside activities, branch street addressoutside businesses appear above as structured facts, reviewed, with a short quote