DFX Intelligence
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Registered advisor
R••••• L•••• T•••••••
Feed of 09/14/2026
Also filed as R••••• L•••• D••••••••• L•••• D•••••
At current firm
4 y
since Sep 8, 2022
In the industry
17 y
since Jun 1, 2009 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
1
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•••••• S••••• • C••• I••• national BD currentsince Sep 8, 2022 · Orlando, Fl
- T• A••••••••• I••• formerAug 7, 2017 to Sep 12, 2022 · Omaha, Ne
- T• A••••••••• I••••••••• M••••••••• L•• formerAug 7, 2017 to Aug 8, 2017 · Omaha, Ne
- E•••••• F•••••••• E•••••• independent RIAFeb 28, 2017 to Aug 7, 2017 · Omaha, Ne
- T• A••••••••• I••••••••• M••••••••• L•• formerMay 29, 2014 to Mar 23, 2016 · Omaha, Ne
- T• A••••••••• I••• formerMay 27, 2014 to Mar 23, 2016 · Omaha, Ne
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJun 8, 2009 to Dec 31, 2012 · Fountain Inn, Sc
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••• to C•••••• S••••• • C••• I•••left Sep 12, 2022, registered Sep 8, 2022 (-4 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Aug 8, 2017, registered Aug 7, 2017 (-1 days) · channel change inside one enterprise, not a move · moved with a team
- E•••••• F•••••••• E•••••• to T• A••••••••• I••••••••• M••••••••• L••left Aug 7, 2017, registered Aug 7, 2017 (0 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to E•••••• F•••••••• E••••••left Mar 23, 2016, registered Feb 28, 2017 (342 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Mar 23, 2016, registered May 29, 2014 (-664 days) · channel change inside one enterprise, not a move
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to T• A••••••••• I•••left Dec 31, 2012, registered May 27, 2014 (512 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address