DFX Intelligence
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R•••••• T•••••••
As of · the IAPD feed
- At current firm
- 2 y
- In the industry
- 13 y
- Prior registered firms
- 1
- Signals
- 1
since Sep 5, 2024
As of · the IAPD feed
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Registration history
IAPD current and previous registrations
- A••••• A•• P••••••• S••••••• BD affiliated currentsince Sep 5, 2024 · Charlotte, Nc
- W•••• F•••• A••••••• wirehouseOct 11, 2022 to Aug 23, 2024 · Charlotte, Nc
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to A••••• A•• P••••••• S•••••••left Aug 23, 2024, registered Sep 5, 2024 (13 days) · Wirehouse to affiliated broker-dealer or bank
Signals
- ••• LockedAug 23, 2024 · Advisor changed firm · fact
Transition signals
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, outside business text, branch street address