DFX Intelligence
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Registered advisor
S•••••• R• S••••••
Feed of 09/14/2026
Also filed as S•••••• S••••••••• R••• S••••••
At current firm
3 y
since Oct 31, 2022
In the industry
16 y
since Dec 10, 2009 (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
1
dated events on this person
Registration history
IAPD current and previous registrations
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Oct 31, 2022 · Little Rock, Ar
- J••• M••••• S••••••••• L•• wirehouseApr 23, 2021 to Nov 1, 2022 · Little Rock, Ar
- C•••••• S••••• • C••• I••• national BDJul 12, 2019 to Apr 13, 2021 · Germantown, Tn
- T• A••••••••• I••••••••• M••••••••• L•• formerJan 2, 2019 to Jun 25, 2019 · Little Rock, Ar
- T• A••••••••• I••• formerJan 2, 2019 to Jun 25, 2019 · Little Rock, Ar
- M••••• S•••••• wirehouseJun 22, 2011 to Dec 18, 2018 · Little Rock, Ar
- E••••• J•••• national BDDec 15, 2009 to Jun 23, 2011 · St Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 1, 2022, registered Oct 31, 2022 (-1 days) · Wirehouse to wirehouse
- C•••••• S••••• • C••• I••• to J••• M••••• S••••••••• L••left Apr 13, 2021, registered Apr 23, 2021 (10 days) · Affiliated broker-dealer or bank to wirehouse
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Jun 25, 2019, registered Jul 12, 2019 (17 days) · RIA to affiliated broker-dealer or bank
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jun 25, 2019, registered Jan 2, 2019 (-174 days) · channel change inside one enterprise, not a move
- M••••• S•••••• to T• A••••••••• I•••left Dec 18, 2018, registered Jan 2, 2019 (15 days) · Other
- E••••• J•••• to M••••• S••••••left Jun 23, 2011, registered Jun 22, 2011 (-1 days) · Affiliated broker-dealer or bank to wirehouse
Signals
- ••• LockedNov 1, 2022 · Advisor changed firm · fact
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address