DFX Intelligence
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Registered advisor
M••••••• A•• M••••
Feed of 09/15/2026
Also filed as M•••••• A•• M••••••••• M••••
At current firm
4 y
since Jan 11, 2022
In the industry
19 y
since Nov 1, 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
0
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• national BD currentsince Jan 11, 2022 · St Louis, Mo
- T• A••••••••• I••• formerFeb 27, 2018 to Jul 26, 2022 · St. Louis, Mo
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 26, 2018 to Dec 31, 2020 · Omaha, Ne
- S•••••••• I••••••••• M••••••••• formerDec 9, 2016 to Feb 26, 2018 · Saint Louis, Mo
- W•••• F•••• A••••••• wirehouseNov 30, 2012 to Nov 5, 2013 · St. Louis, Mo
- A••••••••• F•••••••• S•••••••• L•• national BDNov 16, 2006 to Jun 22, 2009 · Chesterfield, Mo
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••• to C•••••• S••••• • C••• I•••left Jul 26, 2022, registered Jan 11, 2022 (-196 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Dec 31, 2020, registered Feb 27, 2018 (-1038 days) · corporate re-registration, not a move
- S•••••••• I••••••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 26, 2018, registered Feb 26, 2018 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to S•••••••• I••••••••• M•••••••••left Nov 5, 2013, registered Dec 9, 2016 (1130 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to W•••• F•••• A•••••••left Jun 22, 2009, registered Nov 30, 2012 (1257 days) · Affiliated broker-dealer or bank to wirehouse
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