DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
S••• P•••••• T••••• T••••
Feed of 09/14/2026
Also filed as S••• T••••
At current firm
12 y
since Mar 7, 2014
In the industry
21 y
since Sep 25, 2004 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Mar 7, 2014 · Iowa City, Ia
- T••••••••• S••••••••• L•• state registeredAug 25, 2022 to Dec 21, 2023 · Iowa City, Ia
- P••••••••• F•••••••• S••••••• unclassifiedJan 28, 2016 to Dec 31, 2021 · Iowa City, Ia
- W••••• E••••••••• A••••••• S•••••••• L•• BD affiliatedJan 31, 2011 to Feb 27, 2014 · Mt. Vernon, Ia
- E••••• J•••• national BDMar 11, 2008 to Dec 20, 2010 · Mount Vernon, Ia
Moves
a registration end followed by a registration begin elsewhere
- T••••••••• S••••••••• L•• to no registered destinationleft Dec 21, 2023 · Departure, no registered destination
- P••••••••• F•••••••• S••••••• to T••••••••• S••••••••• L••left Dec 31, 2021, registered Aug 25, 2022 (237 days) · Other · moved with a team
- W••••• E••••••••• A••••••• S•••••••• L•• to L•• F•••••••• L••left Feb 27, 2014, registered Mar 7, 2014 (8 days) · Other
- E••••• J•••• to W••••• E••••••••• A••••••• S•••••••• L••left Dec 20, 2010, registered Jan 31, 2011 (42 days) · Other
Signals
- S••• P•••••• T••••• T•••• no longer registered at T••••••••• S••••••••• L••; no later IA registration on IAPDDec 21, 2023 · Advisor departure · 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
- 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