DFX Intelligence
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Registered advisor
E•••••••• S••••••••
Feed of 09/14/2026
Also filed as E•••••••• R••••• F••••••••• R••••• S••••••••
At current firm
4 y
since Aug 22, 2022
In the industry
20 y
since Aug 22, 2006 (earliest exam, job or registration)
Prior registered firms
5
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- P•••••••• S••••••••• I••• BD affiliated currentsince Aug 22, 2022 · Overland Park, Ks
- L•• F•••••••• L•• BD affiliatedJul 21, 2021 to Aug 22, 2022 · Shawnee, Ks
- W•••••• • R••• formerFeb 11, 2010 to Jul 21, 2021 · Overland Park, Ks
- N•• A•••••••• I••• unclassifiedJan 14, 2008 to Dec 3, 2009 · Leawood, Ks
- L•• F•••••••• L•• BD affiliatedNov 16, 2007 to Jan 22, 2008 · Leawood, Ks
- A••••••••• F•••••••• S•••••••• L•• national BDAug 23, 2006 to Oct 12, 2007 · Leawood, Ks
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to P•••••••• S••••••••• I•••left Aug 22, 2022, registered Aug 22, 2022 (0 days) · RIA to affiliated broker-dealer or bank
- W•••••• • R••• to L•• F•••••••• L••left Jul 21, 2021, registered Jul 21, 2021 (0 days) · corporate re-registration, not a move
- N•• A•••••••• I••• to W•••••• • R•••left Dec 3, 2009, registered Feb 11, 2010 (70 days) · Other
- L•• F•••••••• L•• to N•• A•••••••• I•••left Jan 22, 2008, registered Jan 14, 2008 (-8 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left Oct 12, 2007, registered Nov 16, 2007 (35 days) · Other
Signals
- ••• LockedAug 22, 2022 · Advisor changed firm · fact
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address