DFX Intelligence
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Registered advisor
C•••• L• H•• H••••
Feed of 09/15/2026
Also filed as C•••• L• H••••••••• L• H••••••••• L• H••••••••• H••••
At current firm
3 y
since Nov 4, 2022
In the industry
21 y
since Jul 1, 2005 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
3
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
- J••• M••••• S••••••••• L•• wirehouse currentsince Nov 4, 2022 · Columbus, Oh
- F••••••• P••••••• A•• W•••••••• A••••••• formerJan 10, 2022 to Sep 27, 2022 · Salt Lake City, Ut
- J••• M••••• S••••••••• L•• wirehouseMar 13, 2020 to Aug 27, 2021 · Atlanta, Ga
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to J••• M••••• S••••••••• L••left Sep 27, 2022, registered Nov 4, 2022 (38 days) · Affiliated broker-dealer or bank to wirehouse
- J••• M••••• S••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Aug 27, 2021, registered Jan 10, 2022 (136 days) · Wirehouse to affiliated broker-dealer or bank
Signals
- ••• LockedSep 27, 2022 · Advisor changed firm · fact
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address