DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
F•••••• S••••
Feed of 09/15/2026
Also filed as F•••••• M••••• K••••
At current firm
4 y
since Feb 3, 2022
In the industry
21 y
since Aug 1, 2005 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
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
- F•••• C••••••• I••••••• S•••••••• I••• BD affiliated currentsince Feb 3, 2022 · Beulaville, Nc
- E•••••••• A•••••••• L•• national BDJan 29, 2021 to Jan 25, 2022 · Raleigh, Nc
Moves
a registration end followed by a registration begin elsewhere
- E•••••••• A•••••••• L•• to F•••• C••••••• I••••••• S•••••••• I•••left Jan 25, 2022, registered Feb 3, 2022 (9 days) · Affiliated broker-dealer or bank to another
Signals
- ••• LockedJan 25, 2022 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address