DFX Intelligence
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Registered advisor
C••• W•••••• E••••
Feed of 09/14/2026
At current firm
8 y
since Aug 1, 2018
In the industry
15 y
since Jun 1, 2011 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S63, 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•••••• S••••• • C••• I••• national BD currentsince Aug 1, 2018 · Clayton, Mo
- T• A••••••••• I••••••••• M••••••••• L•• formerAug 2, 2016 to May 4, 2018 · Saint Louis, Mo
- T• A••••••••• I••• formerAug 2, 2016 to May 4, 2018 · Chicago, Il
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left May 4, 2018, registered Aug 1, 2018 (89 days) · RIA to affiliated broker-dealer or bank
- T• A••••••••• I••• to C•••••• S••••• • C••• I•••left May 4, 2018, registered Aug 1, 2018 (89 days) · Other
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
- National broker-dealer RIAderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address