DFX Intelligence
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Registered advisor
S••• D•••• L••••••
Feed of 09/15/2026
At current firm
4 y
since Nov 9, 2021
In the industry
17 y
since Dec 4, 2008 (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
0
dated events on this person
Registration history
IAPD current and previous registrations
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Nov 9, 2021 · West Des Moines, Ia
- S•••••••• F••••••••• I••• formerSep 9, 2014 to Nov 12, 2021 · Scottsdale, Az
- E••••• J•••• national BDDec 10, 2008 to Sep 3, 2014 · Osceola, Ia
Moves
a registration end followed by a registration begin elsewhere
- S•••••••• F••••••••• I••• to C••••• I••••••••• A••••••• L••left Nov 12, 2021, registered Nov 9, 2021 (-3 days) · Affiliated broker-dealer or bank to another
- E••••• J•••• to S•••••••• F••••••••• I•••left Sep 3, 2014, registered Sep 9, 2014 (6 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address