DFX Intelligence
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Registered advisor
E••• M•••• F•••••
Feed of 09/14/2026
Also filed as E••• M•••• S••••••••• M•••• R•••••
At current firm
7 y
since Apr 29, 2019
In the industry
18 y
since Oct 1, 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, S63
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•••••• F•••••••• E•••••• independent RIA currentsince Apr 29, 2019 · Omaha, Ne
- T• A••••••••• I••••••••• M••••••••• L•• formerOct 3, 2016 to Apr 23, 2019 · Omaha, Ne
- T• A••••••••• I••••••••• M••••••••• L•• formerDec 5, 2008 to Nov 20, 2013 · Omaha, Ne
- T• A••••••••• I••• formerDec 5, 2008 to Apr 23, 2019 · Omaha, Ne
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••••••••• M••••••••• L•• to E•••••• F•••••••• E••••••left Apr 23, 2019, registered Apr 29, 2019 (6 days) · RIA to RIA
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Apr 23, 2019, registered Oct 3, 2016 (-932 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Nov 20, 2013, registered Dec 5, 2008 (-1811 days) · channel change inside one enterprise, not a move
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
- Independent wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address