DFX Intelligence
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I••••• R• W••••••
As of · the IAPD feed; also filed as I••••• C••••••••• C••••••••• W••••••
- At current firm
- 1 y
- In the industry
- 14 y
- Prior registered firms
- 1
- Signals
- 1
since Sep 26, 2024
As of · the IAPD feed; also filed as I••••• C••••••••• C••••••••• W••••••
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Registration history
IAPD current and previous registrations
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Sep 26, 2024 · Durham, Nc
- E•••••••• A•••••••• L•• national BDJul 14, 2023 to Sep 10, 2024 · Raleigh, Nc
Moves
a registration end followed by a registration begin elsewhere
- E•••••••• A•••••••• L•• to T••••• A••••••• S•••••••• I•••left Sep 10, 2024, registered Sep 26, 2024 (16 days) · Affiliated broker-dealer or bank to another
Signals
- ••• LockedSep 10, 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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address