DFX Intelligence
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R••••• A••••• J••••
As of · the IAPD feed
- At current firm
- 11 y
- In the industry
- 44 y
- Prior registered firms
- 2
- Signals
- 0
since Apr 22, 2015
As of · the IAPD feed
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Registration history
IAPD current and previous registrations
- C••••••• institutional currentsince Apr 22, 2015 · Charlotte, Nc
- W•••• F•••• A••••••• wirehouseJun 19, 2002 to Oct 12, 2009 · High Point, Nc
- W••••••• S••••••••• I••• unclassifiedDec 28, 2001 to Jun 20, 2002 · High Point, Nc
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to C•••••••left Oct 12, 2009, registered Apr 22, 2015 (2018 days) · Other
- W••••••• S••••••••• I••• to W•••• F•••• A•••••••left Jun 20, 2002, registered Jun 19, 2002 (-1 days) · corporate re-registration, not a move
Signals
No dated event on this person.
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
- Institutional managerderived
- Years in industry
- 44derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, the raw outside business text and any address in it, personal outside activities, branch street addressoutside businesses appear above as structured facts, reviewed, with a short quote