DFX Intelligence
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Registered advisor
J•••• A•• C• J••••••
Feed of 09/14/2026
Also filed as M•••• J•••• A•• C• M••••••••• A•• C• M••••••••• J••••••••• A•• C• J••••••••• A•• J••••••
At current firm
1 y
since Mar 31, 2025
In the industry
22 y
since Oct 1, 2003 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Dardenne Prairie, Mo
- F••••••• P••••••• A•• W•••••••• A••••••• formerJan 11, 2022 to Mar 31, 2025 · Salt Lake City, Ut
- C•••••••• G••••• M•••••• I••• BD affiliatedSep 10, 2020 to Oct 11, 2021 · O'Fallon, Mo
- C•••••• S••••• • C••• I••• national BDAug 17, 2018 to Jul 1, 2020 · O'Fallon, Mo
- T• A••••••••• I••• formerFeb 27, 2018 to Jul 6, 2018 · O'Fallon, Mo
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 26, 2018 to Jul 6, 2018 · Omaha, Ne
- S•••••••• I••••••••• M••••••••• formerJul 18, 2017 to Feb 26, 2018 · Saint Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- C•••••••• G••••• M•••••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left Oct 11, 2021, registered Jan 11, 2022 (92 days) · Affiliated broker-dealer or bank to another
- C•••••• S••••• • C••• I••• to C•••••••• G••••• M•••••• I•••left Jul 1, 2020, registered Sep 10, 2020 (71 days) · Affiliated broker-dealer or bank to another
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Jul 6, 2018, registered Feb 27, 2018 (-129 days) · channel change inside one enterprise, not a move · moved with a team
- T• A••••••••• I••• to C•••••• S••••• • C••• I•••left Jul 6, 2018, registered Aug 17, 2018 (42 days) · Other
- S•••••••• I••••••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 26, 2018, registered Feb 26, 2018 (0 days) · corporate re-registration, not a move
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
- National broker-dealer RIAderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address