DFX Intelligence
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Registered advisor
B•••• A•••••• M••••••
Feed of 09/14/2026
At current firm
18 y
since Oct 9, 2007
In the industry
36 y
since Apr 5, 1990 (earliest exam, job or registration)
Prior registered firms
3
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
- C••••••••• F•••••••• N•••••• national BD currentsince Oct 9, 2007 · Edwardsville, Il
- T•• A•••••• G•••• F•••••••• A••••••• S•••••••• L•• unclassifiedJun 13, 2005 to Oct 10, 2007 · St. Louis, Mo
- O• I••••••••• M••••••••• C• BD affiliatedSep 8, 2003 to Jan 6, 2005 · Edwardsville, Il
- V••••••• I••••••••• A•••••••• I••• unclassifiedJul 29, 1998 to May 23, 2003 · St. Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- T•• A•••••• G•••• F•••••••• A••••••• S•••••••• L•• to C••••••••• F•••••••• N••••••left Oct 10, 2007, registered Oct 9, 2007 (-1 days) · Other
- O• I••••••••• M••••••••• C• to T•• A•••••• G•••• F•••••••• A••••••• S•••••••• L••left Jan 6, 2005, registered Jun 13, 2005 (158 days) · Other
- V••••••• I••••••••• A•••••••• I••• to O• I••••••••• M••••••••• C•left May 23, 2003, registered Sep 8, 2003 (108 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
- National broker-dealer RIAderived
- Years in industry
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address