DFX Intelligence
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Registered advisor
E••• W••••• M•••••
Chartered Financial Analyst
Feed of 09/15/2026
Also filed as E••• W••••• M••••••••• W••••• M••••••••• W• M••••••••• M•••••
At current firm
0 y
since Jan 5, 2026
In the industry
34 y
since Oct 8, 1991 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••• L•• independent RIA currentsince Jan 5, 2026 · Charlotte, Nc
- J••• M••••• S••••••••• L•• wirehouseSep 20, 2016 to May 19, 2022 · Columbus, Oh
- S•••••••• I••••••••• M••••••••• formerMar 20, 2014 to Jul 27, 2016 · Saint Louis, Mo
- T• A••••••••• I••••••••• M••••••••• L•• formerSep 18, 2009 to Jun 6, 2013 · Omaha, Ne
- T• A••••••••• I••• formerSep 18, 2009 to Jun 6, 2013 · Omaha, Ne
- W•••• F•••• I••••••••• L•• unclassifiedDec 11, 2007 to Jun 25, 2009 · San Francisco, Ca
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• S••••••••• L•• to C•••••• L••left May 19, 2022, registered Jan 5, 2026 (1327 days) · Wirehouse to independent RIA
- S•••••••• I••••••••• M••••••••• to J••• M••••• S••••••••• L••left Jul 27, 2016, registered Sep 20, 2016 (55 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to S•••••••• I••••••••• M•••••••••left Jun 6, 2013, registered Mar 20, 2014 (287 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jun 6, 2013, registered Sep 18, 2009 (-1357 days) · channel change inside one enterprise, not a move
- W•••• F•••• I••••••••• L•• to T• A••••••••• I•••left Jun 25, 2009, registered Sep 18, 2009 (85 days) · Other
Signals
- ••• LockedMay 19, 2022 · 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
- Independent wealth managerderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address