DFX Intelligence
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Registered advisor
R•••••• S•••• S••••••••
Certified Financial Planner · Chartered Financial Consultant
Feed of 09/14/2026
Also filed as R•••••• S•••• S••••••••• S••••••••
At current firm
4 y
since Feb 17, 2022
In the industry
23 y
since Mar 1, 2003 (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
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- C••••••••• F•••••••• N•••••• national BD currentsince Feb 17, 2022 · West Des Moines, Ia
- E•••• S••••••••• L•• BD affiliatedJun 23, 2011 to Feb 18, 2022 · W. Des Moines, Ia
Moves
a registration end followed by a registration begin elsewhere
- E•••• S••••••••• L•• to C••••••••• F•••••••• N••••••left Feb 18, 2022, registered Feb 17, 2022 (-1 days) · Affiliated broker-dealer or bank to another · moved with a team
Signals
- ••• LockedFeb 18, 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
- National broker-dealer RIAderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address