DFX 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
D••••• R•••••• B••••
Feed of 09/14/2026
Also filed as D••••• R•••••• B••••••••• B•••••••• B••••••••• R• B••••
At current firm
5 y
since Jan 28, 2021
In the industry
15 y
since Nov 1, 2010 (earliest exam, job or registration)
Prior registered firms
2
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
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jan 28, 2021 · Clayton, Mo
- M••••• S•••••• wirehouseMay 18, 2018 to Mar 18, 2020 · Phoenix, Az
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 1, 2011 to May 4, 2018 · Clayton, Mo
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to C••••• I••••••••• A••••••• L••left Mar 18, 2020, registered Jan 28, 2021 (316 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left May 4, 2018, registered May 18, 2018 (14 days) · Wirehouse to wirehouse
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address