DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Feed of 09/15/2026
At current firm
15 y
since May 31, 2011
In the industry
23 y
since Jun 5, 2003 (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
S65, S63
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•• BD affiliated currentsince May 31, 2011 · Ann Arbor, Mi
- A••••••••• F•••••••• S•••••••• L•• national BDOct 5, 2009 to May 19, 2011 · Richardson, Tx
- A••••••••• A•••••• S•••••••• I••• unclassifiedJun 15, 2007 to Oct 5, 2009 · Richardson, Tx
- M••••• S•••••• • C•• L•• unclassifiedApr 16, 2007 to Jun 20, 2007 · Dallas, Tx
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• F•••••••• S•••••••• L•• to S••left May 19, 2011, registered May 31, 2011 (12 days) · Other
- A••••••••• A•••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Oct 5, 2009, registered Oct 5, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• • C•• L•• to A••••••••• A•••••• S•••••••• I•••left Jun 20, 2007, registered Jun 15, 2007 (-5 days) · Other
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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address