DFX Intelligence
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Registered advisor
D••• M•••• C•••••
Feed of 09/14/2026
Also filed as D••• M• S••••••••• M•••• S•••••••
At current firm
3 y
since Jun 29, 2023
In the industry
18 y
since Dec 1, 2007 (earliest exam, job or registration)
Prior registered firms
2
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••••••••• A••••••• L•• BD affiliated currentsince Jun 29, 2023 · Smithville, Mo
- C••••••••• F•••••••• N•••••• national BDSep 18, 2014 to Sep 1, 2022 · Kansas City, Mo
- C••••• A••••••• L•• formerSep 26, 2008 to Sep 23, 2014 · Overland Park, Ks
Moves
a registration end followed by a registration begin elsewhere
- C••••••••• F•••••••• N•••••• to C••••• I••••••••• A••••••• L••left Sep 1, 2022, registered Jun 29, 2023 (301 days) · Affiliated broker-dealer or bank to another · moved with a team
- C••••• A••••••• L•• to C••••••••• F•••••••• N••••••left Sep 23, 2014, registered Sep 18, 2014 (-5 days) · Other
Signals
- ••• LockedSep 1, 2022 · Advisor changed firm · fact
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address