DFX Intelligence
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Registered advisor
C••• A•••• E•••
Feed of 09/14/2026
At current firm
2 y
since Feb 22, 2024
In the industry
20 y
since Sep 1, 2006 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
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 Feb 22, 2024 · St. Louis, Mo
- C•••••• S••••• • C••• I••• national BDJan 26, 2022 to Jan 10, 2024 · St Louis, Mo
- T• A••••••••• I••••••••• M••••••••• L•• formerMar 16, 2018 to Sep 7, 2023 · St. Louis, Mo
- T• A••••••••• I••• formerMar 15, 2018 to Oct 14, 2022 · St. Louis, Mo
- S•••••••• I••••••••• M••••••••• formerAug 22, 2016 to Mar 24, 2018 · Saint Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Sep 7, 2023, registered Jan 26, 2022 (-589 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 14, 2022, registered Mar 16, 2018 (-1673 days) · corporate re-registration, not a move
- S•••••••• I••••••••• M••••••••• to T• A••••••••• I•••left Mar 24, 2018, registered Mar 15, 2018 (-9 days) · channel change inside one enterprise, not a move · moved with a team
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address