DFX Intelligence
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T•••• M•••••••
As of · the IAPD feed; also filed as T•••• A• G••••••••• A•• M••••••••• A•• G••••••
- In the industry
- 30 y
- Prior registered firms
- 2
- Signals
- 1
As of · the IAPD feed; also filed as T•••• A• G••••••••• A•• M••••••••• A•• G••••••
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• brokerage advisory currentsince Sep 23, 2026 · Phoenix, Az
- C•••••• S••••• • C••• I••• brokerage advisorySep 15, 2015 to Jul 4, 2026 · Phoenix, Az
- N••••••••• M••••• I••••••••• S••••••••• no RAUMNov 1, 2005 to Aug 26, 2015 · Phoenix , Az
Moves
a registration end followed by a registration begin elsewhere
- N••••••••• M••••• I••••••••• S••••••••• to C•••••• S••••• • C••• I•••left Aug 26, 2015, registered Sep 15, 2015 (20 days) · Other
Signals
- ••• LockedSep 23, 2026 · Advisor registered · fact
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.
No combined mobility score is published yet. The signals above are on record, each with its own history and base rate.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Brokerage advisory programderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, the raw outside business text and any address in it, personal outside activities, branch street addressoutside businesses appear above as structured facts, reviewed, with a short quote