DFX Intelligence
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Registered advisor
D•••• A•••• L•••••
Feed of 09/14/2026
At current firm
19 y
since Aug 13, 2007
In the industry
33 y
since Aug 5, 1993 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, 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•••••• N••••••• • C••••••• I••••••••• national BD currentsince Aug 13, 2007 · St. Louis, Mo
- L•• F•••••••• L•• BD affiliatedMar 26, 2007 to Jul 30, 2007 · San Diego, Ca
- S•••••• N••••••• • C••••••• I••••••••• national BDApr 25, 2001 to Mar 9, 2007 · St. Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to S•••••• N••••••• • C••••••• I•••••••••left Jul 30, 2007, registered Aug 13, 2007 (14 days) · Other
- S•••••• N••••••• • C••••••• I••••••••• to L•• F•••••••• L••left Mar 9, 2007, registered Mar 26, 2007 (17 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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address