DFX Intelligence
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Registered advisor
B•••••• W••••• S••••••
Feed of 09/14/2026
At current firm
12 y
since Jul 16, 2014
In the industry
45 y
since Oct 20, 1980 (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
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
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Jul 16, 2014 · Atlanta, Ga
- R•••••• J•••• • A••••••••• I••• national BDFeb 13, 2013 to Jul 18, 2014 · Atlanta, Ga
- M••••• K••••• • C••••••• L•• formerJan 24, 2005 to Feb 13, 2013 · Atlanta, Ga
- C••••• S••••• S••••••••• •••• L•• formerJan 17, 2003 to Feb 7, 2005 · Atlanta, Ga
- P••••••• L•• unclassifiedFeb 23, 2000 to Jan 17, 2003 · Atlanta, Ga
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• • A••••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Jul 18, 2014, registered Jul 16, 2014 (-2 days) · Affiliated broker-dealer or bank to another
- M••••• K••••• • C••••••• L•• to R•••••• J•••• • A••••••••• I•••left Feb 13, 2013, registered Feb 13, 2013 (0 days) · corporate re-registration, not a move
- C••••• S••••• S••••••••• •••• L•• to M••••• K••••• • C••••••• L••left Feb 7, 2005, registered Jan 24, 2005 (-14 days) · Other
- P••••••• L•• to C••••• S••••• S••••••••• •••• L••left Jan 17, 2003, registered Jan 17, 2003 (0 days) · corporate re-registration, not a move
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
- 45derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address