DFX Intelligence
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Feed of 09/14/2026
Also filed as A•• E•••••••• P••••••••• E•••••••• S••••••••• E•••••••• C••••
At current firm
0 y
since Mar 26, 2026
In the industry
17 y
since Mar 24, 2009 (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
- W•••• F•••• A••••••• wirehouse currentsince Mar 26, 2026 · Lakewood, Co
- C•••• I••••••••• S••••••• C•••• formerMay 13, 2010 to Jul 7, 2011 · Highlands Ranch, Co
- E••••• J•••• national BDMar 24, 2009 to Apr 29, 2009 · St Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- C•••• I••••••••• S••••••• C•••• to W•••• F•••• A•••••••left Jul 7, 2011, registered Mar 26, 2026 (5376 days) · Other
- E••••• J•••• to C•••• I••••••••• S••••••• C••••left Apr 29, 2009, registered May 13, 2010 (379 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
- Wirehousederived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address