DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Feed of 09/14/2026
Also filed as N••• J•• C•••••
At current firm
14 y
since Aug 6, 2012
In the industry
31 y
since May 31, 1995 (earliest exam, job or registration)
Prior registered firms
3
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
- M••••• S•••••• wirehouse currentsince Aug 6, 2012 · Tulsa, Ok
- C••••• A••••••• L•• formerDec 12, 2011 to Jul 20, 2012 · Greenwood Village, Co
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedJul 17, 2009 to Dec 14, 2011 · Tulsa, Ok
- C••••• A••••••• L•• formerMay 30, 2008 to Jul 17, 2009 · Tulsa, Ok
Moves
a registration end followed by a registration begin elsewhere
- C••••• A••••••• L•• to M••••• S••••••left Jul 20, 2012, registered Aug 6, 2012 (17 days) · Other
- C•••••••• I••••••••• R••••••• A•••••••• I••• to C••••• A••••••• L••left Dec 14, 2011, registered Dec 12, 2011 (-2 days) · Other
- C••••• A••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Jul 17, 2009, registered Jul 17, 2009 (0 days) · Other
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address