DFX Intelligence
RIA Intelligence
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Registered advisor
S•••• M•••••• I••••
Feed of 09/15/2026
At current firm
3 y
since Sep 14, 2023
In the industry
17 y
since Jun 22, 2009 (earliest exam, job or registration)
Prior registered firms
3
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
- P•••••••• S••••••••• I••• BD affiliated currentsince Sep 14, 2023 · Canistota, Sd
- U••• B•••••• I••••••••• I••• formerApr 6, 2011 to Jul 14, 2021 · Sioux Falls, Sd
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Mar 24, 2011 · Sioux Falls, Sd
- W•••• F•••• I••••••••• L•• unclassifiedJun 25, 2009 to Jan 3, 2011 · Brookings, Sd
Moves
a registration end followed by a registration begin elsewhere
- U••• B•••••• I••••••••• I••• to P•••••••• S••••••••• I•••left Jul 14, 2021, registered Sep 14, 2023 (792 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to U••• B•••••• I••••••••• I•••left Mar 24, 2011, registered Apr 6, 2011 (13 days) · Other
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
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