DFX Intelligence
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Registered advisor
S••••• S• R•••
Feed of 09/14/2026
Also filed as S••••• R••••••••• S•••••• R•••
At current firm
3 y
since Apr 11, 2023
In the industry
15 y
since Oct 15, 2010 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, 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 Apr 11, 2023 · Anchorage, Ak
- E•••••• A••••••• G••••• L•• BD affiliatedFeb 4, 2019 to Apr 27, 2022 · Greenwood Village, Co
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedMar 7, 2013 to May 22, 2013 · Cookeville, Tn
- C•••••••• F•••••••• G•••• A••••••• formerJun 29, 2011 to Apr 30, 2012 · Brentwood, Tn
- E••••• J•••• national BDOct 19, 2010 to Jan 26, 2011 · St Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- E•••••• A••••••• G••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 27, 2022, registered Apr 11, 2023 (349 days) · Affiliated broker-dealer or bank to wirehouse
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to E•••••• A••••••• G••••• L••left May 22, 2013, registered Feb 4, 2019 (2084 days) · Other
- C•••••••• F•••••••• G•••• A••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Apr 30, 2012, registered Mar 7, 2013 (311 days) · Other
- E••••• J•••• to C•••••••• F•••••••• G•••• A•••••••left Jan 26, 2011, registered Jun 29, 2011 (154 days) · Other
Signals
- ••• LockedApr 27, 2022 · Advisor changed firm · fact
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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address