DFX Intelligence
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Registered advisor
T••• M••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as T••• D••••• M••••••••• M••••••••• D• M••••
At current firm
1 y
since Mar 31, 2025
In the industry
38 y
since Aug 2, 1988 (earliest exam, job or registration)
Prior registered firms
9
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
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•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Phoenix, Az
- F••••••• P••••••• A•• W•••••••• A••••••• formerMar 11, 2022 to Mar 31, 2025 · Salt Lake City, Ut
- V••••••• A•••••••• I••• BD affiliatedMar 20, 2018 to Sep 8, 2021 · Scottsdale, Az
- T• A••••••••• I••• formerFeb 27, 2018 to Feb 28, 2018 · Phoenix, Az
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 26, 2018 to Feb 28, 2018 · Omaha, Ne
- S•••••••• I••••••••• M••••••••• formerSep 7, 2016 to Feb 26, 2018 · Saint Louis, Mo
- W•••• F•••• A••••••• wirehouseMay 6, 2014 to Aug 26, 2014 · Phoenix, Az
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 4, 2010 to Nov 8, 2013 · Chandler, Az
- U••• F•••••••• P••••••• S••••••• formerMay 12, 2010 to Sep 15, 2010 · Phoenix, Az
- C•••••• S••••• • C••• I••• national BDJul 17, 2006 to Mar 18, 2010 · Phoenix, Az
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- V••••••• A•••••••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left Sep 8, 2021, registered Mar 11, 2022 (184 days) · Affiliated broker-dealer or bank to another · moved with a team
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Feb 28, 2018, registered Feb 27, 2018 (-1 days) · channel change inside one enterprise, not a move · moved with a team
- T• A••••••••• I••• to V••••••• A•••••••• I•••left Feb 28, 2018, registered Mar 20, 2018 (20 days) · Other
- S•••••••• I••••••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 26, 2018, registered Feb 26, 2018 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to S•••••••• I••••••••• M•••••••••left Aug 26, 2014, registered Sep 7, 2016 (743 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Nov 8, 2013, registered May 6, 2014 (179 days) · Wirehouse to wirehouse
- U••• F•••••••• P••••••• S••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 15, 2010, registered Oct 4, 2010 (19 days) · Other
- C•••••• S••••• • C••• I••• to U••• F•••••••• P••••••• S•••••••left Mar 18, 2010, registered May 12, 2010 (55 days) · Affiliated broker-dealer or bank to a newly registered adviser
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
- National broker-dealer RIAderived
- Years in industry
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address