DFX Intelligence
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Registered advisor
R••••• S• F•••••••••
Feed of 09/15/2026
Also filed as R••••• S••• F••••••••• S• F•••••••••
At current firm
2 y
since Mar 21, 2024
In the industry
14 y
since Mar 1, 2012 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
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
- E•••••••• A•••••••• L•• national BD currentsince Mar 21, 2024 · Greenville, Sc
- W•••• F•••• A••••••• wirehouseJul 25, 2022 to Mar 6, 2024 · Charlotte, Nc
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to E•••••••• A•••••••• L••left Mar 6, 2024, registered Mar 21, 2024 (15 days) · Wirehouse to affiliated broker-dealer or bank
Signals
- ••• LockedMar 6, 2024 · Advisor changed firm · fact
Transition signals
No combined mobility score is published yet. The signals above are on record, each with its own history and base rate.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address