DFX Intelligence
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Feed of 09/14/2026
Also filed as D••••• G••••• S••••••••• S••••••
At current firm
5 y
since Mar 26, 2021
In the industry
19 y
since Oct 19, 2006 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- S••••••• C•••••• independent RIA currentsince Mar 26, 2021 · Naples, Fl
- S•••••• N••••••• • C••••••• I••••••••• national BDDec 20, 2007 to Feb 11, 2013 · St. Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- S•••••• N••••••• • C••••••• I••••••••• to S••••••• C••••••left Feb 11, 2013, registered Mar 26, 2021 (2965 days) · Affiliated broker-dealer or bank to independent RIA
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Independent wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address