DFX Intelligence
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Registered advisor
B•••••• W•••• P••••••
Feed of 09/14/2026
Also filed as B••• P••••••••• P••••••
At current firm
10 y
since Sep 2, 2016
In the industry
27 y
since Aug 25, 1999 (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
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
- C••••••••• F•••••••• N•••••• national BD currentsince Sep 2, 2016 · St. Peters, Mo
- U••• B•••••• I••••••••• I••• formerAug 17, 2010 to Sep 7, 2016 · Saint Peters, Mo
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Aug 16, 2010 · Saint Peters, Mo
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedSep 9, 2005 to Oct 23, 2009 · Chesterfield, Mo
- E••••• J•••• national BDNov 10, 1999 to Sep 14, 2005 · Wentzville, Mo
Moves
a registration end followed by a registration begin elsewhere
- U••• B•••••• I••••••••• I••• to C••••••••• F•••••••• N••••••left Sep 7, 2016, registered Sep 2, 2016 (-5 days) · Other · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U••• B•••••• I••••••••• I•••left Aug 16, 2010, registered Aug 17, 2010 (1 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- E••••• J•••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Sep 14, 2005, registered Sep 9, 2005 (-5 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
- National broker-dealer RIAderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address