DFX Intelligence
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Registered advisor
A•••••• M•••••• S••••
Feed of 09/14/2026
At current firm
10 y
since Sep 28, 2015
In the industry
24 y
since Oct 1, 2001 (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
S63, 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
- M••••• O• O•••• I••••••• S•••••••• I••• independent RIA currentsince Sep 28, 2015 · O••••, Ne
- C•••••• S••••• • C••• I••• national BDOct 29, 2014 to Aug 25, 2015 · Omaha, Ne
- A•••• P•••• A••••••• formerNov 21, 2012 to Sep 25, 2014 · Lavista, Ne
- S••••••••• A•••••• A•••••••• I••• formerJul 23, 2012 to Sep 25, 2014 · La Vista, Ne
- T• A••••••••• I••••••••• M••••••••• L•• formerMay 21, 2009 to Jan 12, 2011 · O••••, Ne
- T• A••••••••• I••• formerMay 21, 2009 to Jan 12, 2011 · Omaha, Ne
Moves
a registration end followed by a registration begin elsewhere
- C•••••• S••••• • C••• I••• to M••••• O• O•••• I••••••• S•••••••• I•••left Aug 25, 2015, registered Sep 28, 2015 (34 days) · Other
- S••••••••• A•••••• A•••••••• I••• to A•••• P•••• A•••••••left Sep 25, 2014, registered Nov 21, 2012 (-673 days) · channel change inside one enterprise, not a move
- A•••• P•••• A••••••• to C•••••• S••••• • C••• I•••left Sep 25, 2014, registered Oct 29, 2014 (34 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to S••••••••• A•••••• A•••••••• I•••left Jan 12, 2011, registered Jul 23, 2012 (558 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jan 12, 2011, registered May 21, 2009 (-601 days) · channel change inside one enterprise, not a move
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
- Independent wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address