DFX Intelligence
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A••••• M•••• D•••
As of · the IAPD feed; also filed as A••••• M•••• C••••••••• M• D•••
- At current firm
- 5 y
- In the industry
- 18 y
- Prior registered firms
- 2
- Signals
- 0
since Mar 16, 2021
As of · the IAPD feed; also filed as A••••• M•••• C••••••••• M• D•••
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Registration history
IAPD current and previous registrations
- J••• M••••• S••••••••• L•• wirehouse currentsince Mar 16, 2021 · Belton, Mo
- A••••• A•• P••••••• S••••••• BD affiliatedFeb 26, 2019 to Nov 13, 2020 · Overland Park, Ks
- W•••• F•••• A••••••• wirehouseDec 18, 2015 to Feb 19, 2019 · Overland Park, Ks
Moves
a registration end followed by a registration begin elsewhere
- A••••• A•• P••••••• S••••••• to J••• M••••• S••••••••• L••left Nov 13, 2020, registered Mar 16, 2021 (123 days) · Affiliated broker-dealer or bank to wirehouse
- W•••• F•••• A••••••• to A••••• A•• P••••••• S•••••••left Feb 19, 2019, registered Feb 26, 2019 (7 days) · Wirehouse to affiliated broker-dealer or bank
Signals
No dated event on this person.
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
- Wirehousederived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, the raw outside business text and any address in it, personal outside activities, branch street addressoutside businesses appear above as structured facts, reviewed, with a short quote