DFX Intelligence
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Registered advisor
N••••••• S•••••• M••••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as N••• S•••••• M••••••••• M••••••
At current firm
4 y
since Dec 20, 2021
In the industry
14 y
since Mar 9, 2012 (earliest exam, job or registration)
Prior registered firms
6
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•••••• C•••••• L•• state registered currentsince Dec 20, 2021 · St. Louis, Mo
- E••••• J•••• national BDApr 16, 2020 to Nov 29, 2021 · St. Louis, Mo
- C•••••• S••••• • C••• I••• national BDNov 15, 2017 to Apr 16, 2020 · Chesterfield, Mo
- T• A••••••••• I••••••••• M••••••••• L•• formerOct 19, 2017 to Nov 9, 2017 · St. Louis, Mo
- T• A••••••••• I••• formerOct 19, 2017 to Nov 9, 2017 · St Louis, Mo
- S•••••••• I••••••••• M••••••••• formerMay 28, 2015 to Oct 24, 2017 · Saint Louis, Mo
- S•••••• N••••••• • C••••••• I••••••••• national BDMar 12, 2012 to May 28, 2015 · St. Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- E••••• J•••• to C•••••• C•••••• L••left Nov 29, 2021, registered Dec 20, 2021 (21 days) · Affiliated broker-dealer or bank to a state-registered adviser
- C•••••• S••••• • C••• I••• to E••••• J••••left Apr 16, 2020, registered Apr 16, 2020 (0 days) · Affiliated broker-dealer or bank to another
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Nov 9, 2017, registered Oct 19, 2017 (-21 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Nov 9, 2017, registered Oct 19, 2017 (-21 days) · Other
- S•••••••• I••••••••• M••••••••• to T• A••••••••• I•••left Oct 24, 2017, registered Oct 19, 2017 (-5 days) · Other
- S•••••• N••••••• • C••••••• I••••••••• to S•••••••• I••••••••• M•••••••••left May 28, 2015, registered May 28, 2015 (0 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
- STATE REGISTEREDderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address