DFX Intelligence

RIA Intelligence

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Registered advisor

D•••• H•••• L••••••

B••••••• F• E•••••• • C••••••• I•••••••••BD affiliatedSt. Louis, Mo dual registrantIAPD 1393832

Feed of 09/15/2026

At current firm

2 y

since May 16, 2024

In the industry

41 y

since Aug 23, 1985 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

B••••••• F• E•••••• • C••••••• I••••••••• BD affiliated current
since May 16, 2024 · Verdale, Wa
W•••• F•••• A••••••• wirehouse
Jan 1, 2008 to May 15, 2024 · Coeur D'Alene, Id
A• G• E•••••• • S•••• I••• unclassified
Nov 18, 2005 to Jan 1, 2008 · Coeur D'Alene, Id
M••••• S•••••• D• I••• unclassified
Apr 21, 1999 to Nov 21, 2005 · Laguna Woods, Ca

Moves

a registration end followed by a registration begin elsewhere

W•••• F•••• A••••••• to B••••••• F• E•••••• • C••••••• I•••••••••
left May 15, 2024, registered May 16, 2024 (1 days) · Wirehouse to affiliated broker-dealer or bank
A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••
left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move
M••••• S•••••• D• I••• to A• G• E•••••• • S•••• I•••
left Nov 21, 2005, registered Nov 18, 2005 (-3 days) · Other

Signals

D•••• H•••• L•••••• left W•••• F•••• A••••••• for B••••••• F• E•••••• • C••••••• I••••••••• (registered 2024-05-16)
May 15, 2024 · 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: Broker-dealer affiliated wealth managerderived
Years in industry: 41derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address