DFX Intelligence
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Registered advisor
A••• M•••••• B••••••
Certified Financial Planner
Feed of 09/14/2026
At current firm
9 y
since Sep 1, 2017
In the industry
23 y
since Aug 18, 2003 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
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
- M••••• S•••••• wirehouse currentsince Sep 1, 2017 · Clayton, Mo
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Sep 5, 2017 · Ladue, Mo
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJun 25, 2007 to Oct 23, 2009 · St. Louis, Mo
- B••••••• I••••••••• S•••••••• I••• ••••• formerAug 12, 2006 to Jun 1, 2007 · Omaha, Ne
- I••••• F•••••••• C••••••••• formerMay 7, 2004 to Aug 12, 2006 · Omaha, Ne
- W•••••• • R••• formerAug 25, 2003 to May 4, 2004 · Omaha, Ne
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Sep 5, 2017, registered Sep 1, 2017 (-4 days) · Wirehouse to wirehouse · moved with a team
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- B••••••• I••••••••• S•••••••• I••• ••••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Jun 1, 2007, registered Jun 25, 2007 (24 days) · Other
- I••••• F•••••••• C••••••••• to B••••••• I••••••••• S•••••••• I••• •••••left Aug 12, 2006, registered Aug 12, 2006 (0 days) · Other
- W•••••• • R••• to I••••• F•••••••• C•••••••••left May 4, 2004, registered May 7, 2004 (3 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
- Wirehousederived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address