DFX Intelligence
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Feed of 09/14/2026
Also filed as A••• P••••
At current firm
4 y
since Jul 1, 2022
In the industry
10 y
since Dec 1, 2015 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
3
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
- C••• L•• BD affiliated currentsince Jul 1, 2022 · Omaha, Ne
- C•••••• S••••• • C••• I••• national BDFeb 4, 2022 to Jun 15, 2022 · Omaha, Ne
- T• A••••••••• I••••••••• M••••••••• L•• formerJan 31, 2017 to Jun 15, 2022 · Omaha, Ne
- T• A••••••••• I••• formerJan 31, 2017 to Jun 15, 2022 · Omaha, Ne
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Jun 15, 2022, registered Feb 4, 2022 (-131 days) · channel change inside one enterprise, not a move
- C•••••• S••••• • C••• I••• to C••• L••left Jun 15, 2022, registered Jul 1, 2022 (16 days) · Affiliated broker-dealer or bank to another
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jun 15, 2022, registered Jan 31, 2017 (-1961 days) · channel change inside one enterprise, not a move
Signals
- ••• LockedJun 15, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address