DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
B•••••• S••••• S••••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as B•••••• A• S••••••••• A• S•••••
At current firm
4 y
since Mar 11, 2022
In the industry
23 y
since Nov 9, 2002 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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
- B••••••••• W••••• A•••••••• L•• no RAUM currentsince Mar 11, 2022 · Wheaton, Il
- A••••••••• A•••••• S•••••••• I••• unclassifiedJan 30, 2004 to Oct 14, 2005 · Kansas City, Mo
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• A•••••• S•••••••• I••• to B••••••••• W••••• A•••••••• L••left Oct 14, 2005, registered Mar 11, 2022 (5992 days) · Other
Signals
No dated event on this person.
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
- No RAUM reportedderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address