DFX Intelligence
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C•••••• B••••• S•••••••
As of · the IAPD feed
- In the industry
- 10 y
- Prior registered firms
- 0
- Signals
- 0
As of · the IAPD feed
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65
IA exams only
Outside business and network
what the advisor disclosed on Form U4, and what the public record says each company is
Observed business footprint
- 2 disclosed outside organisations
- Owner, founder or manager of 1
- 1 also disclosed by other registered advisors
- 2 started or first disclosed in the last 12 months
Why it may matter
- someEntrepreneurial activityOwns, founded or manages 1 business entity outside the advisory practice (self-disclosed on Form U4).
- someReal estate activity1 real-estate entity disclosed.
- someExternal business breadthOutside business spans 1 category: real estate.
- notableRecent external activity2 outside activities with a start date in the last 12 months.
- Managing member · since Jul 2026
Rental properties plus dividends, interest and capital gains from a business brokerage account (the advisor's own disclosure)
Owns or founded a real-estate entity outside the advisory practice; started within the last 12 months.
self-disclosed on Form U4 - Contractor · since Aug 2026
Fixed I•••••••• Sales (the advisor's own disclosure)
An insurance appointment or agency relationship, the most common outside activity among advisors; started within the last 12 months; 35 colleagues at the same firm disclose the same entity.
self-disclosed on Form U4
Registration history
IAPD current and previous registrations
- F•••••• F•••••••• A•••••••• L•• BD affiliated currentsince Aug 26, 2026 · Charlotte, Nc
Moves
a registration end followed by a registration begin elsewhere
No firm change on the tape.
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 10derivedfrom 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