DFX Intelligence
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Registered advisor
P•••• A•••••• H•••••
Feed of 09/14/2026
At current firm
3 y
since May 8, 2023
In the industry
28 y
since Jun 1, 1998 (earliest exam, job or registration)
Prior registered firms
9
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
2
current registrations
Exams
S63, 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
- O•••• A••••••• S•••••••• L•• BD affiliated currentsince May 10, 2023 · Scottsdale, Az
- O•••• W•••••• I••• BD affiliated currentsince May 8, 2023 · Scottsdale, Az
- T•••• A•••••••• L•• formerMay 8, 2023 to Aug 23, 2024 · Atlanta, Ga
- S••••••••• A•••••• A•••••••• I••• formerApr 26, 2023 to Jun 14, 2024 · La Vista, Ne
- A•••• P•••• A••••••• formerApr 26, 2023 to Nov 8, 2024 · La Vista, Ne
- F•• S••••••••• C••••••••• formerJan 10, 2018 to Nov 3, 2023 · Atlanta, Ga
- W••••••• F•••••••• S•••••••• I••• formerJan 10, 2018 to Jan 19, 2024 · Oakdale, Mn
- S•••••••• F••••••••• I••• formerOct 31, 2005 to Sep 1, 2023 · Phoenix, Az
- S••••• S••••••••• C••••••••• unclassifiedAug 1, 2002 to Aug 9, 2002 · Phoenix, Az
- S•••••• • C••• I••• unclassifiedAug 1, 2002 to Aug 9, 2002 · Phoenix, Az
- S••••••••• S••••••••• I••• unclassifiedFeb 4, 2002 to Oct 31, 2005 · Phoenix, Az
Moves
a registration end followed by a registration begin elsewhere
- A•••• P•••• A••••••• to T•••• A•••••••• L••left Nov 8, 2024, registered May 8, 2023 (-550 days) · channel change inside one enterprise, not a move
- T•••• A•••••••• L•• to O•••• W•••••• I•••left Aug 23, 2024, registered May 8, 2023 (-473 days) · corporate re-registration, not a move
- S••••••••• A•••••• A•••••••• I••• to A•••• P•••• A•••••••left Jun 14, 2024, registered Apr 26, 2023 (-415 days) · channel change inside one enterprise, not a move · moved with a team
- W••••••• F•••••••• S•••••••• I••• to S••••••••• A•••••• A•••••••• I•••left Jan 19, 2024, registered Apr 26, 2023 (-268 days) · channel change inside one enterprise, not a move
- F•• S••••••••• C••••••••• to W••••••• F•••••••• S•••••••• I•••left Nov 3, 2023, registered Jan 10, 2018 (-2123 days) · channel change inside one enterprise, not a move · moved with a team
- S•••••••• F••••••••• I••• to F•• S••••••••• C•••••••••left Sep 1, 2023, registered Jan 10, 2018 (-2060 days) · channel change inside one enterprise, not a move · moved with a team
- S••••••••• S••••••••• I••• to S••••• S••••••••• C•••••••••left Oct 31, 2005, registered Aug 1, 2002 (-1187 days) · Other
- S•••••• • C••• I••• to S•••••••• F••••••••• I•••left Aug 9, 2002, registered Oct 31, 2005 (1179 days) · Other
- S••••• S••••••••• C••••••••• to S•••••• • C••• I•••left Aug 9, 2002, registered Aug 1, 2002 (-8 days) · Other
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address