DFX Intelligence
RIA Intelligence
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Registered advisor
R••••• S••••
Feed of 09/19/2026
At current firm
0 y
since Sep 18, 2026
In the industry
17 y
since May 1, 2009 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, 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
- A••••• A•• P••••••• S••••••• BD affiliated currentsince Sep 18, 2026 · Durham, Nc
- E••••• J•••• national BDNov 22, 2024 to Aug 14, 2026 · New Hill, Nc
Moves
a registration end followed by a registration begin elsewhere
- E••••• J•••• to A••••• A•• P••••••• S•••••••left Aug 14, 2026, registered Sep 18, 2026 (35 days) · Affiliated broker-dealer or bank to another
Signals
- R••••• S•••• registered as an investment adviser representative at A••••• A•• P••••••• S•••••••Sep 18, 2026 · Advisor registered · 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address