DFX Intelligence
RIA Intelligence
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Registered advisor
S•••• K•••••• E••••
Feed of 09/15/2026
At current firm
8 y
since Nov 16, 2017
In the industry
40 y
since Feb 4, 1986 (earliest exam, job or registration)
Prior registered firms
2
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
- W•••• F•••• A••••••• wirehouse currentsince Nov 16, 2017 · Peoria, Il
- R••••• W• B•••• • C•• I••••••••• mixed wealthDec 8, 2006 to Nov 21, 2017 · Peoria Heights, Il
- M••••• S•••••• D• I••• unclassifiedApr 5, 2000 to Dec 15, 2006 · Peoria, Il
Moves
a registration end followed by a registration begin elsewhere
- R••••• W• B•••• • C•• I••••••••• to W•••• F•••• A•••••••left Nov 21, 2017, registered Nov 16, 2017 (-5 days) · Other · moved with a team
- M••••• S•••••• D• I••• to R••••• W• B•••• • C•• I•••••••••left Dec 15, 2006, registered Dec 8, 2006 (-7 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
- Wirehousederived
- Years in industry
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address