DFX Intelligence
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Registered advisor
S•••• M• S•••••••••
Feed of 09/14/2026
Also filed as S•••• S••••••••• S••••••••• M• S••••••••• M•••• S•••••••••
At current firm
11 y
since Aug 12, 2015
In the industry
27 y
since Mar 5, 1999 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- N••••••••• M••••• I••••••••• S••••••••• no RAUM currentsince Aug 12, 2015 · W Des Moines, Ia
- W•••• F•••• A••••••• wirehouseSep 5, 2014 to Jun 8, 2015 · West Des Moines, Ia
- V••• F•••••••• A•••••••• I••• BD affiliatedApr 19, 2007 to Feb 1, 2010 · Windsor, Ct
- W•••• F•••• I••••••••• L•• unclassifiedMay 30, 2002 to Aug 26, 2005 · Des Moines, Ia
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to N••••••••• M••••• I••••••••• S•••••••••left Jun 8, 2015, registered Aug 12, 2015 (65 days) · Other
- V••• F•••••••• A•••••••• I••• to W•••• F•••• A•••••••left Feb 1, 2010, registered Sep 5, 2014 (1677 days) · Other
- W•••• F•••• I••••••••• L•• to V••• F•••••••• A•••••••• I•••left Aug 26, 2005, registered Apr 19, 2007 (601 days) · Other
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
- No RAUM reportedderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address