DFX Intelligence
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Registered advisor
P•••••• B•••••
Feed of 09/14/2026
At current firm
1 y
since May 2, 2025
In the industry
10 y
since Jan 1, 2016 (earliest exam, job or registration)
Prior registered firms
4
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
- S••••• W••••• A•••••••• I••• no RAUM currentsince May 2, 2025 · Atlanta, Ga
- S•••••••• A••••••• L•• national BDMar 31, 2025 to Apr 4, 2025 · Boston, Ma
- F••••••• P••••••• A•• W•••••••• A••••••• formerJan 26, 2022 to Mar 31, 2025 · Dunwoody, Ga
- J••• M••••• S••••••••• L•• wirehouseSep 16, 2020 to Dec 16, 2021 · Atlanta, Ga
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 11, 2018 to Sep 8, 2020 · Marietta, Ga
Moves
a registration end followed by a registration begin elsewhere
- S•••••••• A••••••• L•• to S••••• W••••• A•••••••• I•••left Apr 4, 2025, registered May 2, 2025 (28 days) · Other · moved with a team
- 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
- J••• M••••• S••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Dec 16, 2021, registered Jan 26, 2022 (41 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••left Sep 8, 2020, registered Sep 16, 2020 (8 days) · Wirehouse to wirehouse
Signals
- ••• LockedApr 4, 2025 · 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
- No RAUM reportedderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address