DFX Intelligence
RIA 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.
Registered advisor
A•••••• M•••••• N••••••
Feed of 09/15/2026
At current firm
4 y
since Aug 9, 2022
In the industry
19 y
since Feb 1, 2007 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- C••••••••• F•••••••• N•••••• national BD currentsince Aug 9, 2022 · West Des Moines, Ia
- P•••••••• S••••••••• I••• BD affiliatedApr 9, 2007 to Aug 24, 2022 · West Des Moines, Ia
Moves
a registration end followed by a registration begin elsewhere
- P•••••••• S••••••••• I••• to C••••••••• F•••••••• N••••••left Aug 24, 2022, registered Aug 9, 2022 (-15 days) · Affiliated broker-dealer or bank to another · moved with a team
Signals
- A•••••• M•••••• N•••••• left P•••••••• S••••••••• I••• for C••••••••• F•••••••• N•••••• (registered 2022-08-09)Aug 24, 2022 · Advisor changed firm · fact
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