DFX Intelligence
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Registered advisor
L•••• A•••• P••••••
Feed of 09/15/2026
At current firm
5 y
since Mar 24, 2021
In the industry
22 y
since Jun 2, 2004 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
2
current registrations
Exams
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
- I•••••••• A••••••• S•••••••• independent RIA currentsince Aug 13, 2025 · Dallas, Tx
- I•••••••• A•••••••• L•• BD affiliated currentsince Mar 24, 2021 · Urbandale, Ia
- W•••• F•••• A••••••• wirehouseMay 17, 2016 to Mar 23, 2021 · West Des Moines, Ia
- V••• F•••••••• A•••••••• I••• BD affiliatedNov 1, 2012 to May 9, 2016 · Windsor, Ct
- C••••• A•••••• N••••••• L•• formerFeb 29, 2012 to Oct 2, 2012 · West Des Moines, Ia
- C••••• A••••••• L•• formerFeb 29, 2012 to Oct 2, 2012 · West Des Moines, Ia
- V••• F•••••••• A•••••••• I••• BD affiliatedJun 1, 2005 to Feb 21, 2012 · Des Moines, Ia
- A••••••••• F•••••••• S•••••••• L•• national BDJun 7, 2004 to Jul 19, 2004 · West Des Moines, Ia
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to I•••••••• A•••••••• L••left Mar 23, 2021, registered Mar 24, 2021 (1 days) · Wirehouse to independent RIA
- V••• F•••••••• A•••••••• I••• to W•••• F•••• A•••••••left May 9, 2016, registered May 17, 2016 (8 days) · Other
- C••••• A••••••• L•• to C••••• A•••••• N••••••• L••left Oct 2, 2012, registered Feb 29, 2012 (-216 days) · channel change inside one enterprise, not a move
- C••••• A•••••• N••••••• L•• to V••• F•••••••• A•••••••• I•••left Oct 2, 2012, registered Nov 1, 2012 (30 days) · Other
- V••• F•••••••• A•••••••• I••• to C••••• A••••••• L••left Feb 21, 2012, registered Feb 29, 2012 (8 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to V••• F•••••••• A•••••••• I•••left Jul 19, 2004, registered Jun 1, 2005 (317 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address