DFX Intelligence
RIA 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.
Registered advisor
D••••• S••• S•••
Certified Financial Planner
Feed of 09/14/2026
At current firm
4 y
since Feb 18, 2022
In the industry
27 y
since Jul 14, 1999 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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
- H•••••••• A•••••••• L•• BD affiliated currentsince Feb 18, 2022 · Chicago, Il
- S••••• W••••• A•••••••• I••• no RAUMJan 3, 2012 to Jun 20, 2016 · Phoenix, Az
- C•••••• S••••• • C••• I••• national BDFeb 11, 2004 to Dec 31, 2011 · Fishers, In
Moves
a registration end followed by a registration begin elsewhere
- S••••• W••••• A•••••••• I••• to H•••••••• A•••••••• L••left Jun 20, 2016, registered Feb 18, 2022 (2069 days) · Other
- C•••••• S••••• • C••• I••• to S••••• W••••• A•••••••• I•••left Dec 31, 2011, registered Jan 3, 2012 (3 days) · corporate re-registration, not a move
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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address