DFX Intelligence
RIA Intelligence
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Registered advisor
L•••• D• T•••••
Feed of 09/14/2026
At current firm
4 y
since Nov 1, 2021
In the industry
33 y
since Jan 1, 1993 (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
S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- A••••••• A••••••• S•••••••• L•• BD affiliated currentsince Nov 1, 2021 · Lincoln, Ne
- A••••••• A••••••• S••••••• formerAug 7, 2009 to Nov 1, 2021 · Lincoln, Ne
- A••••••• A••••••• I••• unclassifiedMar 27, 2002 to Jul 31, 2009 · Lincoln, Ne
Moves
a registration end followed by a registration begin elsewhere
- A••••••• A••••••• S••••••• to A••••••• A••••••• S•••••••• L••left Nov 1, 2021, registered Nov 1, 2021 (0 days) · corporate re-registration, not a move
- A••••••• A••••••• I••• to A••••••• A••••••• S•••••••left Jul 31, 2009, registered Aug 7, 2009 (7 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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address