DFX Intelligence
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Registered advisor
R••••• D••• S•••••
Feed of 09/15/2026
Also filed as R•• S••••••••• S•••••
At current firm
15 y
since Aug 15, 2011
In the industry
36 y
since Jan 1, 1990 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S63, 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
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Aug 15, 2011 · Tulsa, Ok
- S••••••••• A•••••• A•••••••• I••• formerJan 23, 2009 to Aug 15, 2011 · Lavista, Ne
- B••••• • Y•••• A•••••••• I••• formerMay 16, 2007 to Jan 23, 2009 · Folsom, Ca
Moves
a registration end followed by a registration begin elsewhere
- S••••••••• A•••••• A•••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Aug 15, 2011, registered Aug 15, 2011 (0 days) · Other
- B••••• • Y•••• A•••••••• I••• to S••••••••• A•••••• A•••••••• I•••left Jan 23, 2009, registered Jan 23, 2009 (0 days) · corporate re-registration, not a move
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address