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.
L••• R•••••• P•••••
Registered advisorat C•••••••• I••••••••• R••••••• A•••••••• I•••Dual registrant· Rome, GaIAPD 7503312
As of · the IAPD feed
- In the industry
- 13 y
- Prior registered firms
- 2
- Signals
- 1
As of · the IAPD feed
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Registration history
IAPD current and previous registrations
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Nov 25, 2025 · Rome, Ga
- D•••••• L••• S••••• L•• formerJan 7, 2026 to Apr 3, 2026 · Rome, Ga
- D•••••• L••• S••••• L•• formerAug 1, 2022 to Dec 31, 2025 · Rome, Ga
Moves
a registration end followed by a registration begin elsewhere
- D•••••• L••• S••••• L•• to no registered destinationleft Apr 3, 2026 · Departure, no registered destination
- D•••••• L••• S••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Dec 31, 2025, registered Nov 25, 2025 (-36 days) · corporate re-registration, not a move
Signals
- ••• LockedApr 3, 2026 · Advisor departure · 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.
No combined mobility score is published yet. The signals above are on record, each with its own history and base rate.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 13derivedfrom 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