DFX Intelligence
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Registered advisor
M•••••• S•••• S•••••••
C•••••••• I••••••••• R••••••• A•••••••• I•••BD affiliatedMountain Home, Ardual registrantIAPD 5336732
Feed of 09/14/2026
Also filed as M••• S•••• S••••••••• S• S•••••••
At current firm
2 y
since Sep 12, 2024
In the industry
19 y
since Sep 18, 2007 (earliest exam, job or registration)
Prior registered firms
3
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•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Sep 12, 2024 · Mountain Home, Ar
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedOct 1, 2018 to Sep 13, 2024 · Mountain Home, Ar
- W•••• F•••• A••••••• wirehouseJan 26, 2009 to Oct 5, 2018 · Mountain Home, Ar
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedSep 19, 2007 to Feb 17, 2009 · Mountain Home, Ar
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Sep 13, 2024, registered Sep 12, 2024 (-1 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Oct 5, 2018, registered Oct 1, 2018 (-4 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••••• I••••••••• R••••••• A•••••••• I••• to W•••• F•••• A•••••••left Feb 17, 2009, registered Jan 26, 2009 (-22 days) · Other
Signals
- ••• LockedSep 13, 2024 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address