DFX Intelligence
RIA Intelligence
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Registered advisor
E••• M•••••• M••••
Chartered Financial Analyst
Feed of 09/14/2026
At current firm
10 y
since Jul 19, 2016
In the industry
19 y
since Mar 9, 2007 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- E••••• J•••• national BD currentsince Jul 19, 2016 · St. Louis, Mo
- R••••• W• B•••• • C•• I••••••••• mixed wealthOct 20, 2014 to May 26, 2016 · St. Louis, Mo
- E••••• J•••• national BDOct 10, 2007 to Oct 15, 2014 · St. Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- R••••• W• B•••• • C•• I••••••••• to E••••• J••••left May 26, 2016, registered Jul 19, 2016 (54 days) · Other
- E••••• J•••• to R••••• W• B•••• • C•• I•••••••••left Oct 15, 2014, registered Oct 20, 2014 (5 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address