DFX Intelligence
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Registered advisor
L••••••• R•••••• L••••
C•••••••• I••••••••• R••••••• A•••••••• I•••BD affiliatedEdwardsville, Ildual registrantIAPD 2401380
Feed of 09/14/2026
Also filed as L•••• L••••
At current firm
1 y
since Jun 9, 2025
In the industry
33 y
since Sep 23, 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
S63, S65
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•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Jun 9, 2025 · Edwardsville, Il
- N•••• A••••••• C••••••••• unclassifiedFeb 16, 2010 to Jun 9, 2025 · Granite City, Il
- M•• I•••••••• S•••••••• L•• BD affiliatedMay 5, 2000 to Mar 3, 2010 · Edwardsville, Il
Moves
a registration end followed by a registration begin elsewhere
- N•••• A••••••• C••••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Jun 9, 2025, registered Jun 9, 2025 (0 days) · Other · moved with a team
- M•• I•••••••• S•••••••• L•• to N•••• A••••••• C•••••••••left Mar 3, 2010, registered Feb 16, 2010 (-15 days) · Other
Signals
- ••• LockedJun 9, 2025 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address