DFX Intelligence
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Registered advisor
A••••• S••••
Feed of 09/14/2026
Also filed as A••••• S••••••••• B••••• S••••••••• B••••• S••••
At current firm
0 y
since Jul 16, 2026
In the industry
12 y
since Dec 1, 2013 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
2
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
- S•••••••• A••••••• L•• national BD currentsince Jul 16, 2026 · Kennesaw, Ga
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 7, 2024 to Nov 18, 2025 · Marietta, Ga
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••••• A••••••• L••left Nov 18, 2025, registered Jul 16, 2026 (240 days) · Wirehouse to affiliated broker-dealer or bank
Signals
- ••• LockedNov 18, 2025 · 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
- National broker-dealer RIAderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address