DFX Intelligence
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Feed of 09/14/2026
Also filed as L••• M•••• M••••••••• M•••• R••••••• M•••• R••••••• M•••• W•••
At current firm
5 y
since Nov 23, 2020
In the industry
23 y
since Oct 1, 2002 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
2
current registrations
Exams
S65, S63
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•••••• BD affiliated currentsince Nov 23, 2020 · Overland Park, Ks
- M•••••• W••••• no RAUM currentsince Nov 23, 2020 · Overland Park, Ks
- A•••••• P••••••• P•••••••• I••• BD affiliatedMar 18, 2010 to Nov 24, 2020 · Waterloo, Ia
- H•••• C•••••• M••••••••• I••• unclassifiedMar 3, 2003 to Sep 24, 2010 · Waterloo, Ia
Moves
a registration end followed by a registration begin elsewhere
- A•••••• P••••••• P•••••••• I••• to M••••••left Nov 24, 2020, registered Nov 23, 2020 (-1 days) · RIA to affiliated broker-dealer or bank
- H•••• C•••••• M••••••••• I••• to A•••••• P••••••• P•••••••• I•••left Sep 24, 2010, registered Mar 18, 2010 (-190 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The 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.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address