DFX Intelligence
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Feed of 09/15/2026
At current firm
1 y
since Nov 15, 2024
In the industry
29 y
since Dec 12, 1996 (earliest exam, job or registration)
Prior registered firms
4
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- •••••••• independent RIA currentsince Nov 15, 2024 · Fayetteville, Ar
- W•••• F•••• A••••••• wirehouseDec 16, 2011 to Dec 12, 2024 · Fayetteville, Ar
- M••••• S•••••• wirehouseMay 11, 2009 to Jan 4, 2012 · Springdale, Ar
- C•••••••• G••••• M•••••• I••• BD affiliatedMar 10, 2005 to Jun 1, 2009 · Springdale, Ar
- F•••• H•••••• A•••••••• I•• formerAug 26, 2002 to Jul 2, 2004 · Springdale, Ar
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to ••••••••left Dec 12, 2024, registered Nov 15, 2024 (-27 days) · Wirehouse to independent RIA · moved with a team
- M••••• S•••••• to W•••• F•••• A•••••••left Jan 4, 2012, registered Dec 16, 2011 (-19 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered May 11, 2009 (-21 days) · corporate re-registration, not a move
- F•••• H•••••• A•••••••• I•• to C•••••••• G••••• M•••••• I•••left Jul 2, 2004, registered Mar 10, 2005 (251 days) · Other
Signals
- ••• LockedDec 12, 2024 · Advisor changed firm · fact
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
- Independent wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address