DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
C•••• W•••••• S••••
Feed of 09/14/2026
Also filed as C•••• S••••
At current firm
5 y
since Apr 27, 2021
In the industry
16 y
since Jul 23, 2010 (earliest exam, job or registration)
Prior registered firms
3
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 Apr 27, 2021 · St. Louis, Mo
- A••••••••• F•••••••• S•••••••• L•• national BDJul 22, 2019 to Mar 10, 2021 · Washington, Mo
- E••••• J•••• national BDAug 15, 2011 to May 10, 2019 · Washington, Mo
- E••••• J•••• national BDJul 26, 2010 to Feb 25, 2011 · Ft Collins, Co
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• F•••••••• S•••••••• L•• to W•••• F•••• A•••••••left Mar 10, 2021, registered Apr 27, 2021 (48 days) · Affiliated broker-dealer or bank to wirehouse
- E••••• J•••• to A••••••••• F•••••••• S•••••••• L••left May 10, 2019, registered Jul 22, 2019 (73 days) · Affiliated broker-dealer or bank to another
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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address