DFX 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.
N••••• D•••• G••••
As of · the IAPD feed
- At current firm
- 4 y
- In the industry
- 20 y
- Prior registered firms
- 2
- Signals
- 1
since Apr 8, 2022
As of · the IAPD feed
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, S65
IA exams only
Registration history
IAPD current and previous registrations
- C••••••••• F•••••••• N•••••• national BD currentsince Apr 8, 2022 · Overland Park, Ks
- E••••• J•••• national BDNov 25, 2015 to Apr 11, 2022 · Overland Park, Ks
- G•••• I••••••••• G•••• unclassifiedMay 24, 2007 to Oct 21, 2015 · Overland Park, Ks
Moves
a registration end followed by a registration begin elsewhere
- E••••• J•••• to C••••••••• F•••••••• N••••••left Apr 11, 2022, registered Apr 8, 2022 (-3 days) · Affiliated broker-dealer or bank to another
- G•••• I••••••••• G•••• to E••••• J••••left Oct 21, 2015, registered Nov 25, 2015 (35 days) · Other
Signals
- ••• LockedApr 11, 2022 · Advisor changed firm · fact
Transition signals
No combined mobility score is published yet. The signals above are on record, each with its own history and base rate.
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