DFX Intelligence
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Registered advisor
R••• M•••••• S••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as R••• S••••
At current firm
5 y
since Oct 13, 2020
In the industry
11 y
since Jul 1, 2015 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- V••••••• A•••••••• I••• BD affiliated currentsince Oct 13, 2020 · Charlotte, Nc
- A••••• A•• P••••••• S••••••• BD affiliatedDec 12, 2017 to Oct 6, 2020 · Charlotte, Nc
- E•••••••• A•••••••• L•• national BDJul 11, 2016 to Dec 7, 2017 · Salisbury, Nc
Moves
a registration end followed by a registration begin elsewhere
- A••••• A•• P••••••• S••••••• to V••••••• A•••••••• I•••left Oct 6, 2020, registered Oct 13, 2020 (7 days) · Affiliated broker-dealer or bank to another
- E•••••••• A•••••••• L•• to A••••• A•• P••••••• S•••••••left Dec 7, 2017, registered Dec 12, 2017 (5 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address