DFX Intelligence
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Feed of 09/15/2026
At current firm
1 y
since Jan 6, 2025
In the industry
11 y
since May 1, 2015 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
2
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince Apr 8, 2026 · Athens, Ga
- W•••• F•••• A••••••• wirehouse currentsince Jan 6, 2025 · Fayetteville, Ga
- J••• M••••• S••••••••• L•• wirehouseOct 17, 2022 to Jan 2, 2025 · Atlanta, Ga
- C•••••• S••••• • C••• I••• national BDFeb 1, 2021 to Aug 30, 2022 · Richfield, Oh
- T• A••••••••• I••••••••• M••••••••• L•• formerMar 6, 2018 to Apr 28, 2020 · Westlake, Oh
- T• A••••••••• I••• formerMar 6, 2018 to Apr 28, 2020 · Westlake, Oh
- P•• W••••• M••••••••• BD affiliatedJan 17, 2017 to Feb 16, 2018 · Cleveland, Oh
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••left Jan 2, 2025, registered Jan 6, 2025 (4 days) · Wirehouse to wirehouse
- C•••••• S••••• • C••• I••• to J••• M••••• S••••••••• L••left Aug 30, 2022, registered Oct 17, 2022 (48 days) · Affiliated broker-dealer or bank to wirehouse
- T• A••••••••• I••• to C•••••• S••••• • C••• I•••left Apr 28, 2020, registered Feb 1, 2021 (279 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Apr 28, 2020, registered Mar 6, 2018 (-784 days) · corporate re-registration, not a move
- P•• W••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 16, 2018, registered Mar 6, 2018 (18 days) · Affiliated broker-dealer or bank to independent RIA
Signals
- ••• LockedJan 2, 2025 · Advisor changed firm · fact
- ••• LockedAug 30, 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
- Wirehousederived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address