DFX Intelligence
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Registered advisor
R••••••• L•••• D••••
Feed of 09/14/2026
At current firm
0 y
since Oct 1, 2025
In the industry
13 y
since Apr 1, 2013 (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
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
- S•••••••• A••••••• L•• national BD currentsince Oct 1, 2025 · Apple Valley, Mn
- S•••••••• I••••••••• M••••••••• formerAug 15, 2017 to Mar 7, 2018 · Saint Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- S•••••••• I••••••••• M••••••••• to S•••••••• A••••••• L••left Mar 7, 2018, registered Oct 1, 2025 (2765 days) · Affiliated broker-dealer or bank to another · moved with a team
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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address