DFX Intelligence
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Registered advisor
T•••• S•••••••••
Feed of 09/15/2026
Also filed as T•••• C•••• S••••••••• S•••••••••
At current firm
1 y
since Mar 31, 2025
In the industry
11 y
since Jan 1, 2015 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Alpharetta, Ga
- F••••••• P••••••• A•• W•••••••• A••••••• formerMar 22, 2021 to Mar 31, 2025 · Alpharetta, Ga
- T• A••••••••• I••••••••• M••••••••• L•• formerSep 12, 2019 to Dec 31, 2020 · Marietta, Ga
- T• A••••••••• I••• formerSep 11, 2019 to Jan 8, 2021 · Sandy Springs, Ga
- T• A••••••••• I••••••••• M••••••••• L•• formerMay 21, 2018 to Sep 10, 2019 · Newport News, Va
- T• A••••••••• I••• formerMay 18, 2018 to Sep 10, 2019 · Newport News, Va
- S•••••••• A••••••• L•• national BDNov 14, 2016 to Apr 20, 2018 · Jacksonville, Fl
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jan 8, 2021, registered Sep 12, 2019 (-484 days) · channel change inside one enterprise, not a move · moved with a team
- T• A••••••••• I••••••••• M••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Dec 31, 2020, registered Mar 22, 2021 (81 days) · RIA to affiliated broker-dealer or bank · moved with a team
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Sep 10, 2019, registered May 21, 2018 (-477 days) · channel change inside one enterprise, not a move · moved with a team
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Sep 10, 2019, registered Sep 11, 2019 (1 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to T• A••••••••• I•••left Apr 20, 2018, registered May 18, 2018 (28 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
- National broker-dealer RIAderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address