DFX Intelligence
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Registered advisor
A••••• O•••• E••
Feed of 09/14/2026
Also filed as A••••• O•••• E••••• O•••• E••
At current firm
1 y
since Sep 5, 2025
In the industry
21 y
since Feb 17, 2005 (earliest exam, job or registration)
Prior registered firms
2
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
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Sep 5, 2025 · Springfield, Il
- A•••••• A••••••• S••••••• formerJul 27, 2022 to Sep 5, 2025 · Springfield, Il
- L•• F•••••••• L•• BD affiliatedFeb 17, 2005 to Sep 21, 2005 · Springfield, Il
Moves
a registration end followed by a registration begin elsewhere
- A•••••• A••••••• S••••••• to C••••• I••••••••• A••••••• L••left Sep 5, 2025, registered Sep 5, 2025 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to A•••••• A••••••• S•••••••left Sep 21, 2005, registered Jul 27, 2022 (6153 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address