DFX Intelligence
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Feed of 09/14/2026
Also filed as L••• M•••• R••••••••• M•••• P••••••••• M• P••••••••
At current firm
4 y
since May 9, 2022
In the industry
23 y
since Nov 21, 2002 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- M••••• S•••••• wirehouse currentsince May 9, 2022 · Peoria, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 12, 2016 to Apr 21, 2022 · Peoria, Il
- W•••• F•••• A••••••• wirehouseSep 18, 2015 to Mar 1, 2016 · Springfield, Il
- N••••••••• M••••• I••••••••• S••••••••• no RAUMJan 9, 2008 to Jun 16, 2015 · Peoria, Il
- A• G• E•••••• • S•••• I••• unclassifiedNov 22, 2002 to Sep 6, 2006 · Peoria, Il
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Apr 21, 2022, registered May 9, 2022 (18 days) · Wirehouse to wirehouse · moved with a team
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 1, 2016, registered Sep 12, 2016 (195 days) · Wirehouse to wirehouse
- N••••••••• M••••• I••••••••• S••••••••• to W•••• F•••• A•••••••left Jun 16, 2015, registered Sep 18, 2015 (94 days) · Other
- A• G• E•••••• • S•••• I••• to N••••••••• M••••• I••••••••• S•••••••••left Sep 6, 2006, registered Jan 9, 2008 (490 days) · Other
Signals
- ••• LockedApr 21, 2022 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address