DFX Intelligence
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Registered advisor
S••• M•••• B••••
Feed of 09/14/2026
Also filed as S••• M• B••••••••• B••••••••• M•••• B••••••••• B••••••••• R•••••••• M•••• R•••••••• M• R•••••••• M•••• R•••••••• B••••••••• M•••• B••••
At current firm
1 y
since Jul 30, 2025
In the industry
13 y
since May 1, 2013 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
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•••••• S••••• • C••• I••• national BD currentsince Jul 30, 2025 · St Louis, Mo
- E••••• J•••• national BDDec 18, 2023 to Jul 2, 2025 · St Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- E••••• J•••• to C•••••• S••••• • C••• I•••left Jul 2, 2025, registered Jul 30, 2025 (28 days) · Affiliated broker-dealer or bank to another
Signals
- ••• LockedJul 2, 2025 · Advisor changed firm · fact
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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address