DFX Intelligence
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Registered advisor
A••• S•••••• W•••••••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as A••• S•••••• W•••••••••
At current firm
1 y
since Mar 31, 2025
In the industry
16 y
since Dec 22, 2009 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, 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
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Phoenix, Az
- F••••••• P••••••• A•• W•••••••• A••••••• formerNov 18, 2021 to Mar 31, 2025 · Salt Lake City, Ut
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 3, 2016 to Oct 19, 2021 · Chandler, Az
- S••••• W••••• A•••••••• I••• no RAUMMar 16, 2015 to Mar 11, 2016 · Phoenix, Az
- C•••••• S••••• • C••• I••• national BDAug 1, 2013 to Apr 30, 2015 · Phoenix, Az
- M•• F•••••••• S•••••••• I••• formerSep 7, 2012 to Jul 15, 2013 · Scottsdale, Az
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 29, 2011 to Aug 3, 2012 · Naples, Fl
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Oct 19, 2021, registered Nov 18, 2021 (30 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- S••••• W••••• A•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 11, 2016, registered May 3, 2016 (53 days) · Other
- C•••••• S••••• • C••• I••• to S••••• W••••• A•••••••• I•••left Apr 30, 2015, registered Mar 16, 2015 (-45 days) · channel change inside one enterprise, not a move
- M•• F•••••••• S•••••••• I••• to C•••••• S••••• • C••• I•••left Jul 15, 2013, registered Aug 1, 2013 (17 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M•• F•••••••• S•••••••• I•••left Aug 3, 2012, registered Sep 7, 2012 (35 days) · Other
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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address