DFX Intelligence
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Registered advisor
A••• W• M•••••
Feed of 09/14/2026
Also filed as A••• M••••••••• W• M•••••
At current firm
9 y
since Jan 12, 2017
In the industry
24 y
since Jun 26, 2002 (earliest exam, job or registration)
Prior registered firms
3
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
- W•••• F•••• A••••••• wirehouse currentsince Jan 12, 2017 · St. Louis, Mo
- W•••• F•••• A••••••• wirehouse currentsince Jan 12, 2017 · Pacific, Mo
- S•••••• N••••••• • C••••••• I••••••••• national BDJun 22, 2009 to Dec 23, 2016 · St. Louis, Mo
- B•••••• W••• • C••• I••• unclassifiedJul 3, 2007 to Mar 18, 2009 · Youngstown, Oh
- K•• I••••••••• S••••••• L•• BD affiliatedFeb 27, 2006 to Jun 22, 2007 · Boardman, Oh
Moves
a registration end followed by a registration begin elsewhere
- S•••••• N••••••• • C••••••• I••••••••• to W•••• F•••• A•••••••left Dec 23, 2016, registered Jan 12, 2017 (20 days) · Affiliated broker-dealer or bank to wirehouse
- B•••••• W••• • C••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Mar 18, 2009, registered Jun 22, 2009 (96 days) · Other
- K•• I••••••••• S••••••• L•• to B•••••• W••• • C••• I•••left Jun 22, 2007, registered Jul 3, 2007 (11 days) · Other
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address