DFX Intelligence
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Registered advisor
B•••• W•••••••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as B•••• W•••••••••
At current firm
1 y
since Mar 31, 2025
In the industry
16 y
since Nov 1, 2009 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
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
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · South Bend, In
- F••••••• P••••••• A•• W•••••••• A••••••• formerJun 8, 2020 to Mar 31, 2025 · St. Louis, Mo
- C•••••• S••••• • C••• I••• national BDFeb 21, 2019 to May 11, 2020 · Chesterfield, Mo
- E•••••• F•••••••• E•••••• independent RIAJun 19, 2017 to May 10, 2018 · Phoenix, Az
- S•••••••• I••••••••• M••••••••• formerSep 17, 2014 to Dec 9, 2016 · Saint Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- C•••••• S••••• • C••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left May 11, 2020, registered Jun 8, 2020 (28 days) · Affiliated broker-dealer or bank to another
- E•••••• F•••••••• E•••••• to C•••••• S••••• • C••• I•••left May 10, 2018, registered Feb 21, 2019 (287 days) · RIA to affiliated broker-dealer or bank · moved with a team
- S•••••••• I••••••••• M••••••••• to E•••••• F•••••••• E••••••left Dec 9, 2016, registered Jun 19, 2017 (192 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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address