DFX Intelligence
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Registered advisor
F•••• H••••• D••••••
Certified Financial Planner
Feed of 09/14/2026
At current firm
6 y
since Jul 16, 2020
In the industry
46 y
since Sep 12, 1980 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Jul 16, 2020 · Chapel Hill, Nc
- M••••• S•••••• wirehouseJun 1, 2009 to Jul 23, 2020 · Chapel Hill, Nc
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Raleigh, Nc
- M••••• S•••••• D• I••• unclassifiedMar 1, 2007 to Apr 2, 2007 · Raleigh, Nc
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Mar 1, 2007 · Durham, Nc
- P••••••••• E••••• G••••• L•• unclassifiedMar 11, 1999 to Jul 1, 2003 · Durham, Nc
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to S•••••• N••••••• • C••••••• I•••••••••left Jul 23, 2020, registered Jul 16, 2020 (-7 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to M••••• S•••••• D• I•••left Mar 1, 2007, registered Mar 1, 2007 (0 days) · Other
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move
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
- National broker-dealer RIAderived
- Years in industry
- 46derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address