DFX Intelligence
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Registered advisor
B•••••• C•••••••• M••••••
Feed of 09/15/2026
Also filed as B•••••• C•••••••• H•••••
At current firm
16 y
since Oct 20, 2009
In the industry
19 y
since Aug 1, 2007 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
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
- E••••• J•••• national BD currentsince Oct 20, 2009 · St. Louis, Mo
- N••• F•••••••• G••••• I••• formerAug 8, 2007 to Sep 10, 2009 · Tempe, Az
Moves
a registration end followed by a registration begin elsewhere
- N••• F•••••••• G••••• I••• to E••••• J••••left Sep 10, 2009, registered Oct 20, 2009 (40 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
- National broker-dealer RIAderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address