DFX Intelligence
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Registered advisor
S•••• R••••• E••••••
Feed of 09/14/2026
At current firm
2 y
since Jul 12, 2024
In the industry
22 y
since Oct 17, 2003 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
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
- L•• F•••••••• L•• BD affiliated currentsince Jul 12, 2024 · Cedar Rapids, Ia
- V••• F•••••••• A•••••••• I••• BD affiliatedJan 1, 2004 to Nov 23, 2011 · Cedar Rapids, Ia
- L••••• S••••• S••••••••• I••• unclassifiedOct 17, 2003 to Jan 1, 2004 · Cedar Rapids, Ia
Moves
a registration end followed by a registration begin elsewhere
- V••• F•••••••• A•••••••• I••• to L•• F•••••••• L••left Nov 23, 2011, registered Jul 12, 2024 (4615 days) · Other
- L••••• S••••• S••••••••• I••• to V••• F•••••••• A•••••••• I•••left Jan 1, 2004, registered Jan 1, 2004 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address