DFX Intelligence
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Registered advisor
C•••••••• B••••
Feed of 09/14/2026
Also filed as C•••••••• G••••• B••••••••• G••••• B••••••••• G••••• B••••••••• G••••• B•••••••••
At current firm
4 y
since Aug 30, 2022
In the industry
26 y
since Jun 26, 2000 (earliest exam, job or registration)
Prior registered firms
4
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- S••••• W••••• A•••••••• I••• no RAUM currentsince Aug 30, 2022 · St Louis, Mo
- W•••• F•••• A••••••• wirehouseDec 19, 2018 to Jul 26, 2022 · St. Louis, Mo
- S•••••• N••••••• • C••••••• I••••••••• national BDFeb 16, 2017 to Nov 1, 2018 · St. Louis, Mo
- S•••••••• I••••••••• M••••••••• formerDec 8, 2016 to Feb 10, 2017 · Saint Louis, Mo
- E••••• J•••• national BDDec 8, 2008 to Nov 10, 2014 · St. Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to S••••• W••••• A•••••••• I•••left Jul 26, 2022, registered Aug 30, 2022 (35 days) · Other
- S•••••• N••••••• • C••••••• I••••••••• to W•••• F•••• A•••••••left Nov 1, 2018, registered Dec 19, 2018 (48 days) · Affiliated broker-dealer or bank to wirehouse
- S•••••••• I••••••••• M••••••••• to S•••••• N••••••• • C••••••• I•••••••••left Feb 10, 2017, registered Feb 16, 2017 (6 days) · Other
- E••••• J•••• to S•••••••• I••••••••• M•••••••••left Nov 10, 2014, registered Dec 8, 2016 (759 days) · Other
Signals
- ••• LockedJul 26, 2022 · 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
- No RAUM reportedderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address