DFX Intelligence
RIA Intelligence
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Registered advisor
B•••• M•••••• P•••••
Feed of 09/15/2026
At current firm
3 y
since Sep 22, 2022
In the industry
25 y
since Feb 5, 2001 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Sep 22, 2022 · St. Louis, Mo
- W•••• F•••• A••••••• wirehouseMay 16, 2017 to Jul 20, 2022 · St. Louis, Mo
- W•••• F•••• A••••••• wirehouseMar 11, 2010 to Jul 28, 2015 · Fort Lauderdale, Fl
- W•••• F•••• A••••••• wirehouseMar 5, 2010 to Mar 11, 2010 · St. Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to L•• F•••••••• L••left Jul 20, 2022, registered Sep 22, 2022 (64 days) · Wirehouse to independent RIA · moved with a team
- W•••• F•••• A••••••• to W•••• F•••• A•••••••left Jul 28, 2015, registered May 16, 2017 (658 days) · channel change inside one enterprise, not a move
- W•••• F•••• A••••••• to W•••• F•••• A•••••••left Mar 11, 2010, registered Mar 11, 2010 (0 days) · channel change inside one enterprise, not a move
Signals
- B•••• M•••••• P••••• left W•••• F•••• A••••••• for L•• F•••••••• L•• (registered 2022-09-22)Jul 20, 2022 · Advisor changed firm · fact
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address